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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. uestion No: 124
Jack and Jill are a newly married couple in their mid-20s. They are determined to retire by the time they are 50 and have arranged a meeting with a representative of Professional Investment Advisers to structure a financial plan that will allow them to achieve this goal.
The representative, Mr. Hill, advises them to invest at least 60% of their money in bond funds to minimize the risk of loss on the way to their goal. Mr. Hill has

A) made an unsuitable recommendation for these clients and is subject to license suspension or revocation.
B) has committed fraud in promoting their delusion that they can possibly expect to retire by the time they turn 50, regardless of their investment strategy.
C) advised Jack and Jill well with a conservative allocation of their money to preserve principal.
D) committed fraud in indicating that bonds are less risky than stocks.

2. Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his portfolio to banks and insurance companies located in the state that purchase the bonds for their investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the price appreciation of the bonds during the time he held them, but receives no other form of compensation. Based on these facts,

A) Wheeler need not register in the state, but the securities must be registered before they can be sold to in-state investors.
B) Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.
C) Wheeler need not register in the state, and the securities are also exempt from registration.
D) Wheeler must register as a broker-dealer in the state, and the securities must also be registered before they can be sold to in-state investors.

3. Which of the following is not a security, as defined by the Uniform Securities Act?
I. an option contract
II. a futures contract on gold
III. a 401K plan
IV. a variable annuity

A) Only Selections II and III are not securities.
B) Only Selection III is not a security.
C) None of the selections listed are securities.
D) Selections II, III and IV are not securities.

4. Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer with an office just across the state line.
Don can enter a commission-splitting agreement with

A) Dewey only
B) Either Huey, Dewey, or Louie or any combination of the three
C) either Huey or Dewey or both
D) Huey only

5. 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 only
B) II and III only
C) II, III and IV only
D) I and IV only

Solutions:

Question # 1 Answer: A

Question # 2 Answer: C

Question # 3 Answer: A

Question # 4 Answer: D

Question # 5 Answer: B