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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Stu Pede is an agent with broker-dealer Cavalier. A customer calls with a request to establish a classic IRA and asks for Stu's advice regarding where the money in the IRA should be invested. Stu suggests a municipal bond fund, explaining to his client that the interest income earned on it will be tax-free at the federal level, and some of it may even be tax-free at the state and local levels.
Has Stu engaged in any prohibited practices?

A) No. Although municipal bonds are not suitable investments for a classic IRA, Stu obviously didn't know this and is merely guilty of stupidity.
B) Yes. Stu is an agent with a broker-dealer. He is not an investment adviser representative and is not allowed to make recommendations regarding investments to the firm's clients.
C) No. Although Stu has given investment advice, it was solicited by the client, and Stu received no additional compensation for the advice.
D) Yes. Municipal bonds are not suitable investments for a classic IRA, and Stu can have his license revoked or suspended.

2. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public.
In this scenario, which party is acting as a dealer?

A) Mr. Bigwig
B) HiGrowth Corporation
C) BigFee Investment Bankers
D) GetErDone Broker-Dealers

3. Cassie Clueless has recommended that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the client will receive the dividends when they are distributed.
In which of the following situations might this recommendation be justifiable and not in violation of NASAA rules?
I. The investor has refused to provide Cassie any information regarding his investment goals.
II. The investor is a young professional with an investment goal of long-term capital appreciation.
III. The investor is a retiree in a low tax bracket and needs current income to augment her social security check.

A) It is always in violation of NASAA rules to recommend that a client purchase shares of a mutual fund prior to its ex-dividend date.
B) I and II only
C) I only
D) III only

4. Which of the following persons would not be required to register with the state as an agent under the guidelines of the Uniform Securities Act (USA)?

A) Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.
B) John is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and receives a commission on the shares he sells.
C) Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of securities for the firm's customers.
D) Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by the county to the public.

5. You have passed the necessary exams (congratulations!) and are applying for registration as a securities agent.
It is already the end of September. Therefore, you must pay

A) the full annual fee, and your license will expire on December 31st this year.
B) the full annual fee, and your license will expire on December 31st next year.
C) the full annual fee, and your license will expire on September 30th next year.
D) one-fourth of the annual fee required since only one quarter of the year remains.

Solutions: