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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail from Mr. Wolf regarding her performance as his agent.
What are Ms. Swyne's legitimate options?

A) As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and make it all go away.
B) Ms. Swyne must forward the complaint to the state Administrator.
C) Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to revoke the complaint.
D) Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.

2. Which of the following would not appear on a trade confirmation?

A) the settlement date
B) All of the above items appear on a trade confirmation.
C) the commission
D) the client's account number

3. 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

4. Which of the following are accurate statements regarding the minimum financial requirements for investment advisers according to the NASAA Model Rules?
I. Any investment adviser who has discretionary authority over a client's assets, but who does not have actual custody of client funds or securities, is required to maintain a minimum net worth of $10,000 at all times.
II. An investment adviser who requires that a fee of more than $500 from his clients be paid six months or more in advance must maintain a positive net worth at all times.
III. Only an investment adviser who has actual custody of client assets is subject to a minimum net worth requirement, which the NASAA Model Rules specifies is $10,000.

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

5. on No: 239
A tombstone advertisement is

A) an offer to sell a new security that is being issued by an Arizona firm.
B) an offer to sell a new security.
C) the only type of advertisement that an investment advisory firm is allowed to use.
D) the announcement of a new security that may become available for purchase.

Solutions: