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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following trades is illegal?

A) the sale of a mutual fund if the purchaser hasn't received a prospectus
B) a margin transaction
C) a market-not-held order
D) a short sale

2. Cal Turner calls his client and recommends that the client sell his shares in the Alpha High Quality Bond Fund and use the proceeds to buy shares in the Omega High Quality Bond Fund. Cal has done nothing unethical if his recommendation is based on the fact that

A) It would always be unethical for Cal to recommend that a client sell shares in one fund in order to buy shares of another fund that has the same investment objective.
B) the Alpha Fund has a back-end load.
C) the Alpha Fund has been performing poorly relative to other funds in the same category.
D) the Omega Fund has a front-end load.

3. Your next-door neighbor's brother works for a large pharmaceutical company and confided in her that one of the company's chemists has just discovered a compound that will cure baldness and that the firm plans to make the discovery public later in the week. Your next-door neighbor passes this information on to you over a cup of coffee the next morning. You immediately call your broker and place an order to buy shares of the company's stock.
Has any illegal insider trading taken place?

A) Yes. The agent who executes your purchase order has engaged in illegal insider trading.
B) Yes. You are guilty of illegal insider trading because you traded on information that had not yet been made publicly available.
C) No. You are in no way related to your next-door neighbor's brother, and she could have been lying.
D) Yes. You, your neighbor, and her brother are all guilty of illegal insider trading.

4. 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) Both A and B are true.
B) 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.
C) 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.
D) Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend will continue or increase.

5. The Administrator of a state will deny the registration of a security if
I. the mandated filing fee has not been paid.
II. the compensation of the underwriters is excessive.
III. the registration statement is incomplete.
IV. the issuer is registering the security through the registration by coordination process and has not complied with all the stipulated requirements.

A) I or III only
B) I, II, III, or IV
C) III or IV only
D) I, III or IV only

Solutions: