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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed every material fact, how long does the Administrator have after the effective date of the registration to commence a proceeding to deny, suspend, or revoke that person's license based on those facts?

A) one year.
B) 60 days.
C) 90 days.
D) 30 days.

2. Which of the following laws deals with identity theft protection?

A) the Bank Secrecy Act (BSA)
B) ERISA
C) the USA Patriot Act
D) Regulation S-P

3. Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a certain stock. The report was generated by CanDo's analyst department and is hot off the presses. It has not yet even been put on the firm's website for the firm's clients.
The analyst department has just changed its recommendation on the stock from "Hold" to "Strong Buy" based on new information that it has obtained on the company.
Can Noah rush to his office to buy shares of the stock before the analysts release their reports to CanDo's clients?

A) Both B and C are true statements.
B) No. It is unethical for him to trade based on this information before the firm's clients have received the information.
C) No. This is a prohibited activity referred to as "painting the tape."
D) Yes. The firm's analysts used publicly available information to assess the stock and make its recommendation, so Noah can buy the stock now on his own account.

4. Which of the following does not describe a prohibited practice for investment advisers?
I. The adviser sells its non-institutional clients securities that it has issued.
II. The adviser makes a discretionary trade for a client after receiving verbal authorization only and does not receive written authorization from the client within 10 business days of doing so.
III. The investment adviser requires an advisory fee of $300 to be paid in advance at the beginning of each quarter.

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

5. Which of the following scenarios does not meet the definition of "custody" under NASAA Model Rules?

A) An investment adviser keeps a client's securities in its safety deposit box.
B) An investment adviser receives a check from a client that is written to a mutual fund and forwards the check to the mutual fund within three business days of receipt.
C) An investment adviser is mistakenly sent a client's securities, but returns them to the sender within three business days of receipt.
D) An investment adviser has general power of attorney for a client and is authorized to withdraw client funds or securities that are on deposit with a registered broker-dealer upon the investment adviser's request.

Solutions: