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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public.
In this scenario, which party is the broker?

A) HiGrowth Corporation
B) BigFee Investment Bankers
C) Mr. Bigwig
D) GetErDone Broker-Dealers

2. According to the NASAA Model Rules, a broker-dealer is not permitted to allow a customer to engage in margin transactions unless

A) the client has been a customer of the firm for at least 6 months.
B) the broker-dealer already has a margin agreement signed by the client in hand.
C) the client has a net worth of at least $500,000.
D) the broker-dealer receives a margin agreement signed by the client promptly after the client's first margin transaction.

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

4. 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 three business days-to his client.
B) 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.
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.

5. Once a broker-dealer has applied for and been granted state registration, the registration remains valid

A) for five years.
B) for three years.
C) until December 31st.
D) for twelve months.

Solutions: