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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would a firm not be expected to provide to the Administrator when registering an issue of securities with the state?

A) the agreement between the issuing firm and the underwriters.
B) The firm will be expected to provide all of the above to the Administrator when registering an issue of securities with the state.
C) the agreement among the underwriters themselves.
D) all sales and advertising materials that will be used in conjunction with the offering.

2. No: 167
A "market not held" order is

A) a prohibited activity in which an agent engages in the purchase or sale of securities that are not offered by his broker-dealer.
B) an order in which the client tells the broker to use his own discretion in timing a purchase or sale in an attempt to get a better price.
C) an order to buy or sell a stock at a specified price, which differs from the current market price.
D) an order to sell securities that the investor owns if the stock decreases by a certain amount from the current price.

3. 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 and II only
C) I, II, and III
D) I only

4. Ms. Connie Fused sent her investment adviser a check, payable to a mutual fund that he had recommended to her.
What must the adviser do in order to avoid being considered the custodian of this account and, thereby, subject to some strict requirements, including a higher minimum net capital?

A) He needs both to forward the check within 24 hours and to obtain a written statement from Ms. Fused.
B) He needs to get a written statement from Ms. Fused, addressed to the state Administrator, indicating it was her mistake.
C) He needs to forward the check to the mutual fund within 3 days.
D) He needs to forward the check to the mutual fund within 24 hours.

5. Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a certain stock. The report was generated by CanDo's analyst department and is hot off the presses. It has not yet even been put on the firm's website for the firm's clients.
The analyst department has just changed its recommendation on the stock from "Hold" to "Strong Buy" based on new information that it has obtained on the company.
Can Noah rush to his office to buy shares of the stock before the analysts release their reports to CanDo's clients?

A) Both B and C are true statements.
B) No. This is a prohibited activity referred to as "painting the tape."
C) Yes. The firm's analysts used publicly available information to assess the stock and make its recommendation, so Noah can buy the stock now on his own account.
D) No. It is unethical for him to trade based on this information before the firm's clients have received the information.

Solutions: