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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. When selling shares of an investment company to a client, an agent must provide the client with
I. the fund's prospectus, which provides information on any loads or other fees as well as historical return information.
II. information about any breakpoints if it is a load fund along with an explanation of a letter of intent III. information regarding the investment adviser used by the fund IV. an explanation of the various loads and fees outlined in the fund's prospectus

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

2. Which of the following are examples of the prohibited practice of manipulation in the securities markets?
I. Broker-Dealer Joker is unhappy with its investment in the stock of a speculative firm and engages another broker-dealer to purchase a large number of shares from it, with the unofficial agreement to buy back those shares, offer more shares which the second broker-dealer will purchase, and so on.
II. Broker-Dealer Joker has a large short position in the stock of a certain corporation. Joker offers a bonus to its agents who effect sale transactions in the stock.
III. A client calls Broker-Dealer Joker with a request to purchase 20 bonds issued by Massachusetts Institute of Technology (MIT.) The bonds are currently selling for their par value of $1,000. Knowing this, Joker offers to sells the client the bonds for $120 per $100 of par, or $1,200 per $1,000 bond.

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

3. Bootstraps, Inc. is a family-owned business that has experienced enormous growth in the last couple of years.
The business needs more cash to support this growth and has decided to issue some promissory notes, each with a face value of $5,000, for sale to the general public. The firm plans to hire three individuals to help them sell these notes. These individuals will earn a commission based on the notes they sell.
Given these facts, which of the following is true?

A) The notes must be registered with the state, and the three individuals hired to sell the notes must be registered as agents with the state.
B) Neither the notes nor the individuals selling the notes need to be registered with the state.
C) The notes must be registered with the state, but the individuals hired to sell them are not required to be registered.
D) Either the firm must register the notes with the state, or the individuals that are hired to sell the notes must be registered as agents with the state, but not both.

4. A-2-Z Associates is a full service brokerage and is also in the investment advisory industry, charging its clients for investment advice for additional remuneration.
Which of the following statements is true?

A) A-2-Z can charge the client both an advisory fee for its advice and a commission for the execution of a trade based on that advice, but it must inform the client of its potential conflict of interest in doing so and get the client's written consent.
B) A-2-Z can charge an individual client an advisory fee for its advice or a commission when it executes a trade that the client makes based on that advice, but not both.
C) A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no commissions may be collected.
D) A-2-Z can charge the client both an advisory fee for its advice and a commission on any trade the client makes based on the advice. This is all laid out in the advertising brochures full service brokerage firms like A-2-Z provide their prospective clients.

5. 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.

Solutions: