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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Blue Sky Laws are designed to:

A) protect investors from fraud in their securities market transactions.
B) protect agents, broker-dealers, and investment advisers and their representatives from spurious allegations of fraudulent activity.
C) enhance the tourism industry within a state.
D) favor investment in companies that engage in environmentally friendly practices.

2. A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can

A) refuse to pay CanDo commissions for the purchase.
B) refuse to pay for the stock on the settlement date.
C) sue CanDo for not getting him the best price of the day-or anything close to it.
D) do nothing about it.

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

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

4. Cassie Clueless has recommended that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the client will receive the dividends when they are distributed.
In which of the following situations might this recommendation be justifiable and not in violation of NASAA rules?
I. The investor has refused to provide Cassie any information regarding his investment goals.
II. The investor is a young professional with an investment goal of long-term capital appreciation.
III. The investor is a retiree in a low tax bracket and needs current income to augment her social security check.

A) III only
B) I only
C) I and II only
D) It is always in violation of NASAA rules to recommend that a client purchase shares of a mutual fund prior to its ex-dividend date.

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

Solutions: