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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees

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

2. 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 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.
B) Ina can immediately file an appeal of the suspension in a court of law.
C) 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.
D) Ina can sue the Administrator because she was not afforded a hearing before the suspension took place.

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

A) 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.
B) Michaela is employed by GetErDone broker-dealers and sells both exempt and non-exempt securities to GetErDone's clients.
C) 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.
D) Marge is a loan officer at Treadwater Bank and Trust.

4. When selling shares of an investment company to a client, an agent must provide the client with
I. the fund's prospectus, which provides information on any loads or other fees as well as historical return information.
II. information about any breakpoints if it is a load fund along with an explanation of a letter of intent III. information regarding the investment adviser used by the fund IV. an explanation of the various loads and fees outlined in the fund's prospectus

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

5. You are a registered agent with a large brokerage firm. Your client is a very busy woman. She is interested in purchasing 500 shares of Google, but she thinks this morning's opening price is too high. She's going to be in meetings and then on a transatlantic flight. She wants the purchase to take place today because she believes Google's price is just going to keep rising with only the occasional daily ups and downs. She wants you to use your discretion and try to get her the best price for the stock in today's trading session.
Which of the following statements are true?

A) You tell her you can enter it for her as a "market not held" order.
B) You have to tell her that you can't do this without a signed discretionary authorization from her, and there's none on file.
C) You tell her that you can do this for her, but only if you execute it as a margin transaction.
D) You tell her to have her secretary type up a discretionary authorization for her to sign and drop in the mail before she boards the plane. As long as the written authorization is in the mail, you can place the order.

Solutions: