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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following may an investment adviser not use in an attempt to solicit new clients?

A) a free financial planning kit, with no obligation on the part of the potential client
B) a complete list of the stocks they have recommended in the past year, even if a statement is included that states that past performance is no guarantee of future performance
C) a free initial consultation, with no obligation on the part of the potential client
D) testimonials of satisfied clients

2. A margin transaction refers to a transaction

A) in which a registered agent makes trades on a customer's account without that customer's knowledge.
B) in which the client borrows some of the money that he is investing.
C) that is illegal under the guidelines of the Uniform Securities Act.
D) Both A and C are true statements.

3. Mr. Teche is an agent with broker-dealer CanDo, and his only compensation is the commissions he earns on trades he executes. He has applied for and been granted an adjunct teaching position with a local university that will allow him to earn money while he is establishing himself.
Which of the following statements are true?

A) CanDo can deny Mr. Teche permission to accept the adjunct teaching position.
B) As an agent with broker-dealer CanDo, Mr. Teche must notify CanDo in writing of this position prior to accepting it.
C) Mr. Teche is, in essence, an independent contractor with broker-dealer CanDo and can engage in any other business activity at will.
D) Both A and B are true.

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

5. You are employed as an agent with CanDo Broker-Dealers. Your brother is software engineer with VideoMagic. When you were talking to him on the phone the other day, he told you that he overheard a conversation by some of the firm's executives that indicated that VideoMagic was about to take over another software company.
Which of the following would violate insider trading rules?
I. The next day, you get an unsolicited call from a client requesting that you sell his shares in Video Magic, and you execute the trade.
II. You buy stock in Video Magic's target firm in anticipation that its stock price will rise when the information becomes public.
III. You recommend the stock of Video Magic's target firm to investors based on the fact that, on average, the stock price of target firms increases.

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

Solutions: