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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to be overpriced based on its yield and buying a bond that is identical in almost every respect except for the price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time when he does this. Rich Quick

A) is in violation of securities laws. Arbitrage is a prohibited activity.
B) engaged in a fraudulent activity.
C) is trading on insider information, which is a violation of securities laws.
D) is skilled if he is able to earn profits 95% of the time using this strategy.

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) 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.
B) Yes. The Uniform Securities Act prohibits investment advisers from making deceptive statements in the solicitation of clients as well as in advising clients.
C) No. It's not a violation of any securities laws, but the firm probably won't retain many clients this way.
D) No. The firm's phones are manned 24/7, so it hasn't lied.

3. Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk, is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own knowledge.
Based on these facts, which of the following statements is true?

A) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice, and Erin must register as an investment adviser representative as the firm's employee.
B) Erin must register as an investment adviser since she is providing investment advice.
C) Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the facts provided.
D) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice.

4. Which of the following is not a prohibited practice for a broker-dealer?

A) recommending a security to a new client without first ascertaining that client's level of risk tolerance
B) requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer in "street name"
C) executing a trade for an account holder based on instructions from the account holder's spouse
D) waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if the client has that much cash available in his account

5. Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the holder the right to buy 5 shares of Layered's common stock at a price stipulated on the warrant.
In this instance, Layered must file to register which of the following securities with the state?
I. the bonds
II. the warrants
III. the common stock

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

Solutions: