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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Mr. Sailor is cruising through the Bahamas when he learns that a healthcare company in which he owns stock is being sued by former patients, doctors, nurses, and even the federal government. He doesn't have his broker's number handy, and he doesn't have internet access, so he calls his son and tells him to call the broker and instruct the broker to sell his shares. As a registered agent for his broker, you take the call.
Should you execute this transaction?

A) No, not unless you and your broker-dealer have a written document that gives Mr. Sailor's son the power-of-attorney to trade on his account.
B) Yes, as long as the son is at least 21 years old and not a minor child.
C) Yes. This is a legitimate request from a client, and you are required to follow the client's instructions.
D) Yes, as long as the son presents proper identification that proves his relationship to Mr. Sailor, such as a birth certificate.

2. Bob Gogetter is an agent with CanDo Broker-Dealers. One of Bob's clients is out of the country and cannot be contacted. The client holds some stock in a company that just released some information that should make its stock price soar. Bob knows that this client would probably want to increase his holdings, so Bob opens a margin account for his client and borrows the money to buy shares. As it happened, the stock price did soar, and Bob's client earned a sizeable profit.
Is Bob in violation of any securities acts?

A) No, but only because Bob's client profited from Bob's intervention. If the stock had declined in.
B) No. Bob has a fiduciary responsibility to his client to act in his best interest, and Bob knew this.
C) Yes. It is against the law for an agent to open a margin account for a client without the client's.
D) Yes. Bob is guilty of prohibited practice of churning.

3. Which of the following does not describe a prohibited practice for broker-dealers under the NASAA Model Rules?
I. SecureMoney Broker-Dealers has received a request from a client who wants SecureMoney to "identify a few solid firms in the Asian market and invest up to $20,000 in them." SecureMoney executes the purchases and receives the requisite signed discretionary authorization from the client before the settlement date.
II. CanDo Broker-Dealers executes a margin transaction for a client, promptly receiving a signed, written margin agreement from the client after the transaction takes place.
III. GetErDone Broker-Dealers receives a call from a client who wants to purchase some securities on margin.
GetErDone has the client come into the office to sign a properly executed margin agreement prior to effecting the transaction.

A) III only
B) II and III only
C) I and III only
D) None of the selections are prohibited practices.

4. Which of the following would not fall under the classification of "institutional investor"?

A) Chase Bank
B) Franklin Templeton Mutual Funds
C) Neuring Investment Advisers
D) Prudential Insurance

5. You are a registered agent with a broker-dealer. One of your clients visits you and wants you to sell some of the U.S. government bonds she owns and purchase shares of a specific aggressive growth mutual fund for her with the proceeds. Your client is a mentally-competent, 84-year-old woman but, based on your other knowledge of her situation, you believe it to be an unwise move. You should

A) call the mutual fund and tell them that they must convince this client that an investment in their fund is not in her best interest, under penalty of law.
B) nod politely, but not execute the transactions since they are not in her best interest.
C) advise her that you don't believe this is in her best interest, but execute the required transactions if she insists.
D) turn the matter over to your supervisor.

Solutions: