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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Today's edition of the Wall Street Journal carried a front page story regarding a federal lawsuit that has been filed against a software manufacturer for monopolistic practices. The CFO of the company called his broker today and sold some of the shares he owns in the company.
Which of the following statements are true?
I. The CFO is guilty of illegal insider trading.
II. If the agent who effected the transaction for the CFO knew he was CFO of the software company, the agent is guilty of illegal insider trading.
III. The broker-dealer for whom the agent works may have its license suspended or revoked if its agent has knowingly executed this illegal insider trade for not having supervised the agent properly.

A) I and II only
B) I only
C) I, II, and III
D) None of the statements is true.

2. An agent working for a broker-dealer mistakenly sends an investment adviser some bonds that the adviser purchased on behalf of his client instead of directing the bonds to the financial institution that is serving as the qualified custodian of the client's funds.
If the investment adviser wants to avoid being considered custodian of this client's account, what must the adviser do?

A) Record what securities were sent, when he received them, and when he forwarded them--which must be within twenty-four hours-to the qualified custodian of the client's funds.
B) Record what securities were sent, when he received them, and when he forwarded them--which must be within three business days-to his client.
C) Record what securities were sent, when he received them, and when he forwarded them--which
D) Record what securities were sent, when he received them, and when he forwarded them--which must be within twenty-four hours-to his client.

3. Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that his application to be a registered agent of the state has been accepted. Now that he is licensed to execute transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be violating any securities laws if he distributes these business cards?

A) No. However, he may be violating company policy of the broker-dealer he works for by designing his own cards.
B) No. His registration with the Administrator of the state has been accepted, so he is entitled to call himself a "State-Approved Agent."
C) Yes. It is a violation of a securities law to suggest that he has been approved by the state Administrator.
D) Yes. Agents are not permitted to include a picture of themselves on their business cards.

4. 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) II and III only
B) I only
C) I, II, and III
D) I and III only

5. BondsRUs is a broker-dealer that (unsurprisingly) specializes in bonds. The firm has found that it is able to sell Treasury bonds that it buys for $90 per $100 of par value for $99 per $100 of par value to some of its more naive clients, who never pay attention to the confirmation statements BondsRUs sends them. BondsRUs is guilty of

A) fraud.
B) nothing. It is acting as a dealer in bonds and, as such, can charge its clients whatever the clients are willing to pay.
C) both B and C.
D) overcharging its clients by unreasonable markups. A $9 dealer's spread on Treasury bonds is unwarranted.

Solutions: