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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Mr. Sailor is cruising through the Bahamas when he learns that a healthcare company in which he owns
stock is being sued by former patients, doctors, nurses, and even the federal government. He doesn't
have his broker's number handy, and he doesn't have internet access, so he calls his son and tells him to
call the broker and instruct the broker to sell his shares. As a registered agent for his broker, you take the
call. Should you execute this transaction?

A) Yes, as long as the son presents proper identification that proves his relationship to Mr. Sailor, such as
a birth certificate.
B) Yes. This is a legitimate request from a client, and you are required to follow the client's instructions.
C) No, not unless you and your broker-dealer have a written document that gives Mr. Sailor's son the
power-of-attorney to trade on his account.
D) Yes, as long as the son is at least 21 years old and not a minor child.

2. Cal Turner calls his client and recommends that the client sell his shares in the Alpha High Quality Bond
Fund and use the proceeds to buy shares in the Omega High Quality Bond Fund. Cal has done nothing
unethical if his recommendation is based on the fact that

A) the Alpha Fund has a back-end load.
B) It would always be unethical for Cal to recommend that a client sell shares in one fund in order to buy
shares of another fund that has the same investment objective.
C) the Alpha Fund has been performing poorly relative to other funds in the same category.
D) the Omega Fund has a front-end load.

3. The Administrator may not introduce a stop order to deny, revoke, or suspend the effective registration of
a security based on facts that were disclosed during the registration process unless he does so within

A) 45 days.
B) 60 days.
C) 30 days.
D) 1 year.

4. The Administrator may require a firm to supply it with any prospectus, pamphlet, advertisement, or other
sales literature intended for prospective investors unless the security
I. will be sold only through an investment advisory firm.
II. is a federal covered security.
III. is issued by a state credit union.

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

5. In its capacity as a full service broker, A-2-Z Associates is also in the investment advisory industry,
charging its clients for investment advice for additional remuneration. One of the firm's clients has been
advised to buy some U.S. government treasury inflation-protected securities (TIPS.) A-2-Z is a dealer in
these securities in the secondary market. Which of the following statements is true?

A) A-2-Z can sell the client TIPS from its own portfolio as long as it tells the client that it is taking on the
part of the seller in the transaction.
B) A-2-Z can only sell the client TIPS if it informs the client it is acting as the seller in this transaction and
receives the client's written consent before the transaction is settled.
C) Under no circumstances may A-2-Z sell the client TIPS that A-2-Z holds in its own portfolio. This would
be a conflict of interest.
D) A-2-Z can sell the client TIPS indirectly by getting a 3rd party-another broker-dealer-to effect the sale.

Solutions: