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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following entities must sign a "consent to service of process," thereby allowing the
Administrator to receive legal documents that are meant to be served to the entity in place of that entity?
I. agents
II. investment advisers
III. investment adviser representatives
IV. broker-dealers

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

2. Goldie Locks is an agent with Bear Broker-Dealers. One of her clients is a single woman, Annie Spinster,
who is retired and needs income from her investment portfolio to meet her current needs for liquidity. In
addition to investing in mutual funds, Annie likes the thrill of investing in single stocks and asks Goldie for
recommendations. Goldie recommends Annie invest some of her money in Alcon (ACL), a medical
instrument and supplies company selling on the NYSE, based on the fact that it has a high dividend yield
and is paying a dividend of $2.21 a share, which is guaranteed to continue or even increase, Goldie
assures Annie. Has Goldie violated any laws or engaged in any prohibited practices?

A) Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend
will continue or increase.
B) Yes. As the agent of a broker-dealer, Goldie is not permitted to make recommendations for specific
investments. Only investment adviser representatives and investment advisers can do that.
C) No. Goldie merely responded to a recommendation request from a client, and the recommendation is
suitable since the client has a need for current income and the recommended stock pays a high dividend.
D) Both A and B are true.

3. A broker-dealer of commodity futures contracts has been profiting by trading for its own account either
before or after executing a client's trade on the same commodity, depending on which will be most
advantageous. Under the Uniform Securities Act, the broker-dealer is guilty of

A) unauthorized transactions.
B) nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract
is not a security.
C) churning.
D) fraud.

4. Painting the tape refers to

A) the illegal activity of a group of investors who buy and sell a security among themselves to create an
artificially high volume of trading in hopes of luring investors to buy the security.
B) the prohibited practice of excessively trading on a client's account that is used by some broker-dealers
and/or their agents to generate more commissions for themselves.
C) the practice of buying large amounts of a security to drive its price up artificially.
D) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they
own themselves without disclosing the fact.

5. Which of the following is not considered to be a security, as defined by the Uniform Securities Act (USA)?

A) a certificate of deposit (CD)
B) an annuity contract wherein an insurance company promises to pay a fixed sum, either in a lump amount or through periodic payments.
C) a debenture
D) a put option

Solutions: