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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You are employed as an agent with CanDo Broker-Dealers. Your brother is software engineer with VideoMagic. When you were talking to him on the phone the other day, he told you that he overheard a conversation by some of the firm's executives that indicated that VideoMagic was about to take over another software company.
Which of the following would violate insider trading rules?
I. The next day, you get an unsolicited call from a client requesting that you sell his shares in Video Magic, and you execute the trade.
II. You buy stock in Video Magic's target firm in anticipation that its stock price will rise when the information becomes public.
III. You recommend the stock of Video Magic's target firm to investors based on the fact that, on average, the stock price of target firms increases.

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

2. Noah Aull is an investment adviser representative with Canto Investment Advisers. A client has called and told Noah that he heard about a firm that had recently completed an IPO at a party he had attended that weekend and instructed Noah to purchase shares of the company, which was now trading on the OTC Bulletin Board. Noah did some research and felt the company was far too risky an investment for this client, so he did not execute the trade. This turned out to be fortunate for his client since the firm became insolvent within six months of its IPO.
Has Noah done anything wrong?

A) Yes. Noah is guilty of misappropriation and could have his license revoked.
B) Yes. Noah is guilty of making an unauthorized transaction and could have his license revoked.
C) Yes. Noah is guilty of not following a client's instructions and could have his license revoked.
D) No. Noah did what he is hired to do-manage his clients' accounts to the best of his ability.

3. Individual states are prohibited from requiring a broker-dealer or investment adviser to file financial reports more frequently than:

A) twice a year.
B) once a year.
C) four times a year.
D) twelve times a year.

4. Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the state has been revoked. What legitimate options does Sam have available to him now?

A) Sam can move to another state and apply for registration as an investment adviser there.
B) Sam has 60 days to file an appeal of the decision in a court of law.
C) Sam can register with the SEC as an investment adviser, which will exempt him from state registration requirements.
D) Sam has 45 days in which to file an appeal with the attorney general.

5. Which of the following describes a prohibited practice in the sale of shares of investment companies?
I. Sandy Slacker hands her client the fund's prospectus and tells him that the prospectus will provide him all that he needs to know about loads and fees associated with the fund.
II. Elliot Eager tells a client who has an investment objective that includes current income that a certain bond fund has a current yield of 8% and provides the client with a prospectus so that the client can peruse the average annual returns that the fund has generated in past years when the client has the time.
III. After explaining all the fees and loads involved in two different bond funds as well as the difference between current yield and total return, Patty shows the client the data on the average annual returns that the two bond funds provided. She explains to the client that the municipal bond fund has a lower yield than the similar-risk corporate bond fund because the interest income the client will receive from the municipal bond fund will be free from federal taxation, while the interest income on the corporate bond fund is fully taxable.

A) I and II only
B) I and III only
C) I only
D) All the choices describe prohibited practices in the sale of shares of investment companies.

Solutions: