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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Mr. Sailor is cruising through the Bahamas when he learns that a healthcare company in which he owns stock is being sued by former patients, doctors, nurses, and even the federal government. He doesn't have his broker's number handy, and he doesn't have internet access, so he calls his son and tells him to call the broker and instruct the broker to sell his shares. As a registered agent for his broker, you take the call.
Should you execute this transaction?

A) No, not unless you and your broker-dealer have a written document that gives Mr. Sailor's son the power-of-attorney to trade on his account.
B) Yes, as long as the son is at least 21 years old and not a minor child.
C) Yes, as long as the son presents proper identification that proves his relationship to Mr. Sailor, such as a birth certificate.
D) Yes. This is a legitimate request from a client, and you are required to follow the client's instructions.

2. n No: 85
Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license of a person?

A) The person is a broker-dealer whose agents have repeatedly been accused of churning and burning, according to written client complaints.
B) Some of the information supplied on the registration application was found to be false.
C) The applicant has never before worked in the securities industry although he has received the requisite training.
D) The person has been convicted of check kiting within the past ten years.

3. In its capacity as a full service broker, A-2-Z Associates is also in the investment advisory industry, charging its clients for investment advice for additional remuneration. One of the firm's clients has been advised to buy some U.S. government treasury inflation-protected securities (TIPS.) A-2-Z is a dealer in these securities in the secondary market.
Which of the following statements is true?

A) A-2-Z can sell the client TIPS from its own portfolio as long as it tells the client that it is taking on the part of the seller in the transaction.
B) Under no circumstances may A-2-Z sell the client TIPS that A-2-Z holds in its own portfolio. This would be a conflict of interest.
C) A-2-Z can sell the client TIPS indirectly by getting a 3rd party-another broker-dealer-to effect the sale.
D) A-2-Z can only sell the client TIPS if it informs the client it is acting as the seller in this transaction and receives the client's written consent before the transaction is settled.

4. Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her commissions from these transactions to the parish.
Is Carrie doing anything illegal?

A) It depends. As long as the church parishioners are aware of the arrangement between Carrie and
B) It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with
C) No. Carrie is just donating some of her commissions back to the church, and transactions with
D) Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer

5. Goldie Locks is an agent with Bear Broker-Dealers. One of her clients is a single woman, Annie Spinster, who is retired and needs income from her investment portfolio to meet her current needs for liquidity. In addition to investing in mutual funds, Annie likes the thrill of investing in single stocks and asks Goldie for recommendations. Goldie recommends Annie invest some of her money in Alcon (ACL), a medical instrument and supplies company selling on the NYSE, based on the fact that it has a high dividend yield and is paying a dividend of $2.21 a share, which is guaranteed to continue or even increase, Goldie assures Annie.
Has Goldie violated any laws or engaged in any prohibited practices?

A) No. Goldie merely responded to a recommendation request from a client, and the recommendation is suitable since the client has a need for current income and the recommended stock pays a high dividend.
B) Yes. As the agent of a broker-dealer, Goldie is not permitted to make recommendations for specific investments. Only investment adviser representatives and investment advisers can do that.
C) Both A and B are true.
D) Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend will continue or increase.

Solutions: