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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Your client calls you with a market order to purchase 500 shares of the stock of Oracle and asks when payment will be due. If today is Wednesday, September 15th, you inform the client that payment is due on

A) Saturday, September 18th.
B) Monday, September 20th.
C) Friday, September 17th.
D) Thursday, September 16th.

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

3. Mr. Noah Scruples is a registered representative with CanDo Broker-Dealers. A client calls and wants Noah to purchase shares of a mutual fund the client has read about. CanDo is not authorized by this particular fund to effect purchases or sales of the fund shares.
Can Noah execute the order anyway?

A) No. This is a prohibited practice known as selling away.
B) Yes. Since this is an unsolicited trade, Noah can execute the transaction on behalf of his client.
C) No. This is a prohibited practice known as front running.
D) No. This would be considered money laundering, which is highly illegal.

4. Under the NASAA Model Rules, the statute of limitations for civil liabilities is

A) the earlier of two years after the discovery of the facts and four years after the violation.
B) three years after the discovery of the facts and four years after the violation, whichever is greater.
C) the earlier of three years after the discovery of facts and five years after the violation.
D) the earlier of two years after the discovery of facts and three years after the sale.

5. Which of the following statements regarding an investment adviser representative who has an office in the state is true?

A) If the investment adviser that the investment adviser representative is affiliated with is itself registered with the state, then the investment adviser representative does not need to apply for a separate registration, regardless of whether the investment adviser representative has an office in the state.
B) Regardless of whether the investment adviser is registered with the SEC or is registered with the state, all investment adviser representatives of the firm must be registered with the state if they have offices in the state.
C) If an investment adviser representative is registered with the SEC, he or she need not obtain state registration, regardless of whether the investment adviser representative has an office in the state.
D) If the investment adviser is registered with the SEC, then neither the investment adviser nor any of its affiliated investment adviser representative needs to be registered with the state.

Solutions: