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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Bob Gogetter is an agent with CanDo Broker-Dealers. One of Bob's clients is out of the country and cannot be contacted. The client holds some stock in a company that just released some information that should make its stock price soar. Bob knows that this client would probably want to increase his holdings, so Bob opens a margin account for his client and borrows the money to buy shares. As it happened, the stock price did soar, and Bob's client earned a sizeable profit.
Is Bob in violation of any securities acts?

A) Yes. Bob is guilty of prohibited practice of churning.
B) Yes. It is against the law for an agent to open a margin account for a client without the client's.
C) No, but only because Bob's client profited from Bob's intervention. If the stock had declined in.
D) No. Bob has a fiduciary responsibility to his client to act in his best interest, and Bob knew this.

2. Nat Smart was employed as an investment adviser representative and sold many of his clients on a municipal bond fund of which he was fond, telling his clients that the returns earned on it were completely free from federal taxation. Unfortunately, he had some unhappy clients when, at the end of the year, they discovered that they had to pay federal tax on the capital gains earned by the fund when it sold some of the bonds it held. Nat was as surprised as they were.
Based on these facts, which of the following statements is necessarily true?
I. Because Nat was as surprised as they were, he is guiltless.
II. Nat is subject to civil liability payments.
III. Nat will be subject to the criminal penalties for fraud and may spend time in prison.

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

3. n No: 85
Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license of a person?

A) The person has been convicted of check kiting within the past ten years.
B) The applicant has never before worked in the securities industry although he has received the requisite training.
C) Some of the information supplied on the registration application was found to be false.
D) The person is a broker-dealer whose agents have repeatedly been accused of churning and burning, according to written client complaints.

4. It has come to the attention of the Administrator of the state that Samuel Shyster provided false information on his application to become a registered investment adviser with the state. Prior to revoking Samuel's license, the Administrator will provide Samuel with which of the following?
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences

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

5. 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) None of the above statements is true.
C) they must be registered with the SEC and in each state through which the railroad passes.
D) they must be registered with the SEC since railroads are involved in interstate commerce.

Solutions: