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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would not be a prohibited activity for a broker-dealer?
I. A broker-dealer tells a client that a municipal revenue bond offered by the city of Boston, Massachusetts
is almost risk-free because it is backed by the taxes paid to the city, and the city generates a lot of tax
dollars.
II. A broker-dealer sells a client some bonds that the broker-dealer has in its portfolio, after informing the
client that it is acting as a seller in the transaction.
III. A broker-dealer purchases some stock that a client is selling for its own portfolio, after informing the
client that it is acting as a buyer in the transaction.
IV. A broker-dealer purchases 1,000 shares of Southwest Airlines for a client who calls and asks the
broker-dealer to buy some shares of a domestic airline stock at a good price for him and receives written
discretionary authority from the client two days later, prior to the settlement date.

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

2. Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?

A) a credit union that operates within the state and provides loans to its members
B) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with the sale of its new bond issue to insurance companies
C) an agent who executes the purchase and sale of stocks and bonds for his clients
D) None of the above entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act.

3. A margin transaction refers to a transaction

A) Both A and C are true statements.
B) that is illegal under the guidelines of the Uniform Securities Act.
C) in which the client borrows some of the money that he is investing.
D) in which a registered agent makes trades on a customer's account without that customer's knowledge.

4. Which of the following scenarios does not meet the definition of "custody" under NASAA Model Rules?

A) An investment adviser is mistakenly sent a client's securities, but returns them to the sender within
three business days of receipt.
B) An investment adviser keeps a client's securities in its safety deposit box.
C) An investment adviser receives a check from a client that is written to a mutual fund and forwards the
check to the mutual fund within three business days of receipt.
D) An investment adviser has general power of attorney for a client and is authorized to withdraw client
funds or securities that are on deposit with a registered broker-dealer upon the investment adviser's
request.

5. The Administrator may require a firm to supply it with any prospectus, pamphlet, advertisement, or other
sales literature intended for prospective investors unless the security
I. will be sold only through an investment advisory firm.
II. is a federal covered security.
III. is issued by a state credit union.

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

Solutions: