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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following is not a prohibited practice for broker-dealers under the NASAA Model Rules?

A) borrowing money from a client
B) lending money to clients for them to invest
C) providing a client with a copy of their most recent balance sheet upon request
D) charging commissions that are significantly higher than those charged by other broker-dealers

2. The trade confirmation must be received by the customer no later than

A) one week after the settlement date.
B) the day after the trade takes place.
C) five business days after the settlement date.
D) the settlement date.

3. Joe Treader is the owner of a small, state-registered investment advisory firm that is on the verge of becoming insolvent. One of his clients who has become like a mother to him is aware of his financial difficulties and has offered to sell off some of the assets that he manages for her and loan him the money to get him through this period of economic uncertainty until he is able to get on his feet again.
Can Joe take her up on her offer?

A) Yes. Based on the facts presented, it is an unsolicited offer and, as such, Joe can (and should) accept it.
B) Yes, but only if Joe draws up a formal loan agreement with a fair interest rate, based on the going market rates, stated in the agreement as well as a firm date for principal repayment.
C) Both A and B are true.
D) No. As the client's investment adviser, he has a fiduciary relationship with the client. Entering a loan agreement with this client could lead to conflicts of interest.

4. Which of the following may be given to prospective investors during the "cooling off period?"

A) a tombstone advertisement
B) all of the above
C) a final prospectus
D) a copy of the registration statement

5. You have passed the necessary exams (congratulations!) and are applying for registration as a securities agent.
It is already the end of September. Therefore, you must pay

A) the full annual fee, and your license will expire on December 31st next year.
B) the full annual fee, and your license will expire on December 31st this year.
C) the full annual fee, and your license will expire on September 30th next year.
D) one-fourth of the annual fee required since only one quarter of the year remains.

Solutions: