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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. If a person has had its license revoked by the Administrator of the state and has appealed the decision to a court of law, that person

A) must notify the Administrator of the state that it has appealed the decision.
B) is considered to have a revoked license until the courts rule otherwise.
C) can continue business as usual pending the resolution of the appeal.
D) Both B and C are true statements.

2. Which of the following orders can an Administrator issue without providing prior notice?

A) license suspension
B) cease and desist
C) license revocation
D) license denial

3. Which of the following entities is subject to be accused of churning?
I. investment advisers
II. investment adviser representatives
III. broker-dealers
IV. agents

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

4. In accordance with the National Securities Markets Improvement Act of 1996, which of the following is a federal covered adviser and, therefore, exempt from registering with the state Administrator?
I. An adviser who does business in 26 states.
II. An adviser who manages the portfolio of a mutual fund that is registered with the SEC.
III. An adviser with $35 million in assets under management

A) II and III only
B) I and II only
C) All of the selections meet the qualifications of a federal covered adviser.
D) I and III only

5. Which of the following would not be a prohibited activity for a broker-dealer?
I. A broker-dealer tells a client that a municipal revenue bond offered by the city of Boston, Massachusetts is almost risk-free because it is backed by the taxes paid to the city, and the city generates a lot of tax dollars.
II. A broker-dealer sells a client some bonds that the broker-dealer has in its portfolio, after informing the client that it is acting as a seller in the transaction.
III. A broker-dealer purchases some stock that a client is selling for its own portfolio, after informing the client that it is acting as a buyer in the transaction.
IV. A broker-dealer purchases 1,000 shares of Southwest Airlines for a client who calls and asks the broker-dealer to buy some shares of a domestic airline stock at a good price for him and receives written discretionary authority from the client two days later, prior to the settlement date.

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

Solutions: