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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Mr. L. Ranger is an agent for a broker-dealer and has overheard "talk" that a merger between two
well-known high-tech companies is about to take place. Mr. Ranger knows that, on average, in these
instances the target firm's price spikes. He calls his client and good friend, Mr. Tonto, and tells him of the
rumor, suggesting that Tonto might want to buy shares in the target firm. He tells Mr. Tonto that if the
rumor isn't true, the target firm's price may not spike at all and may, in fact, decline, and suggests that Mr.
Tonto not invest any money he isn't willing to lose. Mr. Ranger knows that his friend likes to gamble, and
decided he wouldn't be much of a friend if he didn't inform Tonto of this potential opportunity. Has Mr. L.
Ranger violated any laws or engaged in any prohibited practices?

A) Yes. Mr. Ranger has engaged in fraud in telling Mr. Tonto about the rumor, given that the merger hasn't
been officially announced by the two companies.
B) Yes. Mr. Ranger is privy to knowledge that is not available to the general public and both he and Mr.
Tonto will be guilty of illegal insider trading if Mr. Tonto trades on Mr. Ranger's information.
C) No. Mr. Ranger and Mr. Tonto are friends, so there can be no violations of any laws or practices
because of their non-business relationship.
D) No. Mr. Ranger has informed Mr. Tonto that the merger is just a rumor and has informed him of the risk
involved. Mr. Ranger is knowledgeable about his friend's risk tolerance level as well and recognizes this
investment as one his good friend might want to take.

2. Which of the following is an example of a non-issuer transaction?

A) IBM sells a new issue of bonds to an insurance company.
B) Google offers more shares of its stock for sale to the public.
C) Jose purchases a 10-year bond issued by Progress Energy when it has 6 years remaining to maturity.
D) NewCorp, which has been a privately held company, is engaging in an initial public offering (IPO) of its
stock.

3. Which of the following persons falls under the definition of "broker-dealer," as defined by the Uniform
Securities Act (USA)?

A) MyTrades is a sole proprietorship owned by Nathan Newmoney, who has established the firm solely to
make trades on his own account, thereby avoiding the commissions he would have to pay a middleman.
B) Juan is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and
receives a commission on the shares he sells.
C) Marge is a loan officer at Treadwater Bank and Trust.
D) Michaela is employed by GetErDone broker-dealers and sells both exempt and non-exempt securities
to GetErDone's clients.

4. Ms. Connie Fused sent her investment adviser a check, payable to a mutual fund that he had
recommended to her. What must the adviser do in order to avoid being considered the custodian of this
account and, thereby, subject to some strict requirements, including a higher minimum net capital?

A) He needs to forward the check to the mutual fund within 3 days.
B) He needs both to forward the check within 24 hours and to obtain a written statement from Ms. Fused.
C) He needs to forward the check to the mutual fund within 24 hours.
D) He needs to get a written statement from Ms. Fused, addressed to the state Administrator,indicating it
was her mistake.

5. A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder
for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.

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

Solutions: