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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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.

2. You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the order ticket will be

A) Monday, September 27th.
B) Thursday, September 23rd.
C) Tuesday, September 28th.
D) Friday, September 24th.

3. Which of the following would fall under the definition of "agent," as defined by the Uniform Securities Act (USA)?

A) None of the above would fall under the definition of "agent," as defined by the Uniform Securities Act (USA.)
B) TrustUs Bank has a subsidiary operation that sells mutual funds to the public.
C) Freedom broker-dealers executes the purchase and sale of securities for its customers.
D) Joe works as an administrative assistant for broker-dealer GetErDone, doing data entry, filing client forms that contain confidential information, and directing calls to registered representatives of the firm.

4. Under the Uniform Securities Act (USA), which of the following statements would be disallowed?

A) Neither the statements in Selections B or C would be allowed under the guidelines of the Uniform Securities Act.
B) A sales representative of GetErDone Broker-Dealers guarantees that a client can expect an average annual rate of return of 2% on a mutual fund investment the sales representative is selling, pointing to the fact that the fund has returned an average annual rate of return of 6% over the past ten years.
C) An insurance company guarantees a fixed payment of $300 a month for life on an annuity it is selling.
D) The government of the U.S. guarantees a 3% interest rate, to be paid semiannually, on a new 5-year Treasury note.

5. Registered agent Ina Scent has had her license suspended by the state Administrator prior to an administrative hearing on the order.
Which of the following statements is true regarding Ina's situation?

A) Ina can make a written request that a hearing on the issue be scheduled within fifteen business days of her request and may not continue working with clients unless the Administrator vacates the order until final determination.
B) Ina can immediately file an appeal of the suspension in a court of law.
C) Ina can make a written request that a hearing on the issue be scheduled within ten business days of her request and may continue working with clients while waiting for her day in court.
D) Ina can sue the Administrator because she was not afforded a hearing before the suspension took place.

Solutions: