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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following is an example of commingling?

A) Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account.
B) Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for which Mr. Hawk works.
C) In order to generate more commissions for herself Ms. Fox makes trades on some of her client's accounts and has the trade confirmations sent to a P.O box she owns.
D) All of the above are examples of commingling.

2. Which of the following is not a security, as defined by the Uniform Securities Act?
I. an option contract
II. a futures contract on gold
III. a 401K plan
IV. a variable annuity

A) Only Selection III is not a security.
B) Selections II, III and IV are not securities.
C) Only Selections II and III are not securities.
D) None of the selections listed are securities.

3. Ken Con is an agent with Blue Sky Broker-Dealers. He gets up early each morning so that he can study any late-breaking news that may affect the markets and figure out ways to incorporate this news into conversations with select clients in order to pressure them to restructure their portfolios by selling holdings they have in one particular industry to invest the money in another particular industry.
Ken has been very successful with this strategy and executes more trades for his clients than any other agent with the firm, but is he in danger of losing his license?

A) No. Ken is just a successful sales person who is working harder than the other agents in the firm.
B) Yes. Ken is engaging in churning, a prohibited practice and can have his license revoked or suspended.
C) Yes. Ken is guilty of the prohibited practice of "tailgating."
D) It depends. If his clients have lost money, Ken may lose his license; but if a review indicates that his clients' accounts earn profits, then his license is safe.

4. An investment adviser representative with Capital Investment Advisors, Inc. advised his client to invest $5,000 in bonds of a firm that the adviser claimed was an investment "almost as risk-free as investing in U.S.
government bonds; maybe even more so, given the magnitude of the government deficit these days." The client paid a total of $200 for this advice. The bonds paid interest at the rate of 6%, with semiannual payments, and the client received $300 in interest payments before the firm went belly-up at the end of a year, and its bonds were deemed worthless. The client has filed suit, and its attorneys' fees and court costs are expected to be $1,000. When the investment is a bond, the state has recently been assessing an interest rate equal to the interest rate paid by the security as an equitable interest payment guideline in civil penalties.
The maximum the client can expect in civil penalties is

A) $5,200.
B) $6,200.
C) $5,900.
D) $6,000.

5. Ari Gaunt is a registered agent employed by Small &Associates Broker-Dealers. He has been notified of a hearing regarding the revocation of his license for making unauthorized trades on some of his clients' accounts.
Which of the following statements is necessarily true?

A) If Ari is found guilty and has his license revoked, Small & Associates will be subject to a fine.
B) The Administrator of the state can assess Ari with both civil and criminal penalties.
C) If Ari is found guilty and has his license revoked, he can appeal the decision in a court of law if he files the appeal within sixty days.
D) If Ari is found guilty and has his license revoked, Small & Associates will have its license revoked as well and must reapply for reinstatement by filling out an application and paying the requisite filing fees.

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