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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer with an office just across the state line.
Don can enter a commission-splitting agreement with

A) either Huey or Dewey or both
B) Huey only
C) Either Huey, Dewey, or Louie or any combination of the three
D) Dewey only

2. AllTime Investment Advisers advertises that its phones are manned 24/7, so that a client "doesn't have to lie awake all night worrying about a financial problem." In fact, AllTime does have a answering service that answers calls in the evenings and on the weekends when its offices are closed. The service informs the caller of the firm's business hours, which will be the earliest opportunity the caller will have to talk to an investment adviser representative.
Is this a violation of any securities laws?

A) Yes. The Uniform Securities Act prohibits investment advisers from making deceptive statements in the solicitation of clients as well as in advising clients.
B) It depends. If, before a client signs a contract with the firm, it is made clear that investment adviser representatives are not, in fact, available to him 24/7, then AllTime is in the clear.
C) No. The firm's phones are manned 24/7, so it hasn't lied.
D) No. It's not a violation of any securities laws, but the firm probably won't retain many clients this way.

3. You are a registered agent with a large brokerage firm. Your client is a very busy woman. She is interested in purchasing 500 shares of Google, but she thinks this morning's opening price is too high. She's going to be in meetings and then on a transatlantic flight. She wants the purchase to take place today because she believes Google's price is just going to keep rising with only the occasional daily ups and downs. She wants you to use your discretion and try to get her the best price for the stock in today's trading session.
Which of the following statements are true?

A) You tell her you can enter it for her as a "market not held" order.
B) You tell her to have her secretary type up a discretionary authorization for her to sign and drop in the mail before she boards the plane. As long as the written authorization is in the mail, you can place the order.
C) You tell her that you can do this for her, but only if you execute it as a margin transaction.
D) You have to tell her that you can't do this without a signed discretionary authorization from her, and there's none on file.

4. The C&S Railroad is in the process of issuing new bonds. Before these bonds can be offered for sale,

A) they must be registered in every state in which the bonds will be sold to investors.
B) they must be registered with the SEC and in each state through which the railroad passes.
C) None of the above statements is true.
D) they must be registered with the SEC since railroads are involved in interstate commerce.

5. No: 167
A "market not held" order is

A) a prohibited activity in which an agent engages in the purchase or sale of securities that are not offered by his broker-dealer.
B) an order to buy or sell a stock at a specified price, which differs from the current market price.
C) an order to sell securities that the investor owns if the stock decreases by a certain amount from the current price.
D) an order in which the client tells the broker to use his own discretion in timing a purchase or sale in an attempt to get a better price.

Solutions: