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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following is not a prohibited practice for a broker-dealer?

A) requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer in "street name"
B) executing a trade for an account holder based on instructions from the account holder's spouse
C) waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if the client has that much cash available in his account
D) recommending a security to a new client without first ascertaining that client's level of risk tolerance

2. An investment adviser may not

A) recommend a stock to a client that the adviser itself holds without disclosing to the client that the adviser owns the stock.
B) take a position-either long or short-in securities in which any of its clients have a position.
C) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their clients' accounts.
D) also be registered as a broker-dealer in the state.

3. Under which of the following scenarios can a client legitimately sue a purported professional in the securities industry and expect an award for damages?
I. The securities were sold by an agent whose registration was not yet effective with the state, but who had already applied for registration.
II. The security was a variable annuity, and the sales representative neglected to reveal the details of the surrender clause to the client.
III. The security was the stock of a company, the stock had recently been registered with the state for sale, had been granted registration, and the selling agent had told his client that the security had been state-approved for sale.

A) I and III only
B) I only
C) I, II, and III
D) II and III only

4. Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based on these facts,

A) Needy will be in violation of securities laws unless a waiver of compliance form is signed by the client and submitted to the administrator.
B) Needy is in violation of securities laws only if the face value of the note is for $50,000 or more.
C) Needy is in violation of securities laws by acting as an issuer of securities.
D) Needy is not in danger of violating any securities laws since the loan was unsolicited and has been properly executed via a promissory note.

5. Which of the following practices would be prohibited in connection with the sale of investment company shares?
I. selling a client shares of a load stock fund when a no load stock fund with the same investment objective exists II. selling the client shares of five S&P 500 Index mutual funds, offered by different fund families III. encouraging a client to swap his money between two funds in the same family without informing him that this creates a taxable event

A) I and III only
B) I and II only
C) I, II, and III
D) II and III only

Solutions: