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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her commissions from these transactions to the parish.
Is Carrie doing anything illegal?

A) It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with
B) Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer
C) No. Carrie is just donating some of her commissions back to the church, and transactions with
D) It depends. As long as the church parishioners are aware of the arrangement between Carrie and

2. 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

3. A bond issue has recently been registered with the state Administrator.
Which of the following statements are true?

A) An investor can feel secure in buying the bond because it has recently been registered, which means that the state Administrator finds it to be of sound quality at this point in time.
B) The issuer may now offer this bond for sale, and any other bonds that the issuer may want to offer for sale in the future will be able be sold after the issuer executes a notice filing.
C) Both A and B are true statements.
D) The bond may now be offered for sale in the state.

4. You have passed the necessary exams (congratulations!) and are applying for registration as a securities agent.
It is already the end of September. Therefore, you must pay

A) the full annual fee, and your license will expire on December 31st next year.
B) the full annual fee, and your license will expire on December 31st this year.
C) the full annual fee, and your license will expire on September 30th next year.
D) one-fourth of the annual fee required since only one quarter of the year remains.

5. Which of the following statements regarding the registration of broker-dealers and investment advisers is true?

A) Investment advisers are required either to be registered with a state or with the SEC, while broker-dealers must be registered both with the SEC and the state.
B) Investment advisers are required to register with both the state and the SEC, while broker-dealers may be registered with only one or the other.
C) Both investment advisers and broker-dealers must be registered with the SEC and with the states in which they have offices.
D) Investment advisers must always be registered with the SEC to conduct business; broker-dealers may be registered with either an individual state or the SEC or both.

Solutions: