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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Registered agent Ina Scent has had her license suspended by the state Administrator prior to an administrative hearing on the order.
Which of the following statements is true regarding Ina's situation?

A) Ina can immediately file an appeal of the suspension in a court of law.
B) Ina can make a written request that a hearing on the issue be scheduled within fifteen business days of her request and may not continue working with clients unless the Administrator vacates the order until final determination.
C) Ina can sue the Administrator because she was not afforded a hearing before the suspension took place.
D) Ina can make a written request that a hearing on the issue be scheduled within ten business days of her request and may continue working with clients while waiting for her day in court.

2. Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a certain stock. The report was generated by CanDo's analyst department and is hot off the presses. It has not yet even been put on the firm's website for the firm's clients.
The analyst department has just changed its recommendation on the stock from "Hold" to "Strong Buy" based on new information that it has obtained on the company.
Can Noah rush to his office to buy shares of the stock before the analysts release their reports to CanDo's clients?

A) No. It is unethical for him to trade based on this information before the firm's clients have received the information.
B) Both B and C are true statements.
C) No. This is a prohibited activity referred to as "painting the tape."
D) Yes. The firm's analysts used publicly available information to assess the stock and make its recommendation, so Noah can buy the stock now on his own account.

3. Which of the following securities would not necessarily be exempt from state registration?

A) a bond issued by another state's employees' credit union
B) a stock listed as a NASDAQ National Market Issue.
C) a bond guaranteed by the Canadian government
D) a stock listed on the Tokyo Stock Exchange

4. Which of the following are examples of the prohibited practice of manipulation in the securities markets?
I. Broker-Dealer Joker is unhappy with its investment in the stock of a speculative firm and engages another broker-dealer to purchase a large number of shares from it, with the unofficial agreement to buy back those shares, offer more shares which the second broker-dealer will purchase, and so on.
II. Broker-Dealer Joker has a large short position in the stock of a certain corporation. Joker offers a bonus to its agents who effect sale transactions in the stock.
III. A client calls Broker-Dealer Joker with a request to purchase 20 bonds issued by Massachusetts Institute of Technology (MIT.) The bonds are currently selling for their par value of $1,000. Knowing this, Joker offers to sells the client the bonds for $120 per $100 of par, or $1,200 per $1,000 bond.

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

5. Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her commissions from these transactions to the parish.
Is Carrie doing anything illegal?

A) It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with
B) It depends. As long as the church parishioners are aware of the arrangement between Carrie and
C) No. Carrie is just donating some of her commissions back to the church, and transactions with
D) Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer

Solutions: