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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the order ticket will be

A) Tuesday, September 28th.
B) Monday, September 27th.
C) Thursday, September 23rd.
D) Friday, September 24th.

2. 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 only
B) I and II only
C) I, II, and III
D) I and III only

3. Which of the following would meet the requirements for an "exempt security?"

A) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by Standard and Poors
B) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by Standard and Poors
C) a $500,000 promissory note that matures in two years
D) a $25,000 promissory note that matures in three months

4. You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had his license revoked. In this instance,

A) you can simply find another broker-dealer to hire you and have your license transferred to him.
B) the state Administrator will assign you and any other affected agents to work for other broker-dealers registered with the state.
C) you must wait until the broker-dealer's day in court before you can work in the securities industry again because the Administrator will want to be certain that you knew nothing of it.
D) you are no longer a licensed agent with the state and must reapply for a license in order to work for another broker-dealer.

5. Which of the following would be an unsuitable recommendation for your 68-year-old client?

A) an S&P 500 Index mutual fund
B) a Treasury Inflation Protected Security (TIPS)
C) a high quality corporate bond fund
D) a deferred annuity

Solutions: