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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following is not a prohibited practice for a broker-dealer?

A) requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer in "street name"
B) recommending a security to a new client without first ascertaining that client's level of risk tolerance
C) executing a trade for an account holder based on instructions from the account holder's spouse
D) waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if the client has that much cash available in his account

2. John Ketchum is an investment adviser representative with Load Investment Advisers, which has a family of load funds that it encourages its representatives to promote. Representatives of the firm that sell shares in these funds to their clients receive a greater share of the load than they do if they sell load funds offered by other firms.
Based on these facts, which of the following statements is true?

A) If, after reviewing the information form a client has filled out, John believes that one of Load's funds is an appropriate investment, John can recommend that the client invest in that fund. There is no disclosure requirement necessary if the recommendation is a sound one that can be proved to be based on the client's specific situation.
B) John must provide his clients with a written disclosure that he will receive a greater remuneration for selling shares in the Load family of funds than if he sells them shares in other funds before he provides his clients with any investment advice.
C) Both A and B are true.
D) John is obligated to try to sell his clients the funds offered by Load first since he is affiliated with them and has a fiduciary responsibility to them.

3. Which of the following is an example of commingling?

A) All of the above are examples of commingling.
B) Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for which Mr. Hawk works.
C) In order to generate more commissions for herself Ms. Fox makes trades on some of her client's accounts and has the trade confirmations sent to a P.O box she owns.
D) Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account.

4. Which of the following conditions is necessary for an act involving securities fraud to be considered criminal and subject to criminal penalties?

A) The perpetrator willfully committed the fraudulent act.
B) The act extended across state lines.
C) The victim(s) lost a combined total of at least $25,000 because of the act.
D) The Administrator decides to send the case to criminal court.

5. MoeMoney Investment Advisers uses the services of two broker-dealers exclusively when it executes trades for its clients' accounts. The larger of the two broker-dealers provides MoeMoney with research from its analyst department in return for the business and also serves as the custodian for some of MoeMoney's clients' accounts. The smaller of the two broker-dealers picks up the utility bill for MoeMoney. MoeMoney is careful to disclose this form of "soft dollar" compensation to its clients.
Is it in violation of any securities laws?

A) Yes. Investment advisers are required to use more than two broker-dealers when executing trades on its clients' accounts.
B) Yes. Although investment advisers are permitted to receive some forms of soft dollar compensation from broker-dealers with which it has a relationship, such as research or custodial services, other forms of soft dollar compensation, including the payment of overhead expenses,are prohibited.
C) Yes. Investment advisers are prohibited from receiving any soft dollar compensation whatsoever.
D) No. Investment advisers are entitled to receive soft dollar compensation from broker-dealers with which it has a relationship as long as they disclose this to their clients.

Solutions: