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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following is not a prohibited practice for a broker-dealer?

A) executing a trade for an account holder based on instructions from the account holder's spouse
B) recommending a security to a new client without first ascertaining that client's level of risk tolerance
C) waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if the client has that much cash available in his account
D) requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer in "street name"

2. Alter Advisers & Associates is a small investment adviser partnership registered only in a single state. One of the partners has died, and the surviving spouse has sold that partnership interest to the surviving partners.
Which of the following statements are true?
I. Alter Advisers must inform the state Administrator of this event.
II. Alter Advisers must inform the SEC of this event.
III. Alter Advisers must notify the firm's clients of this event.

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

3. A hypothecation agreement refers to

A) an agreement wherein a client gives his broker-dealer discretion to purchase securities that the broker-dealer deems appropriate in whatever quantity the broker-dealer feels appropriate and at a time and price the broker-dealer believes is a good deal.
B) a document signed by a client indicating that he or she understands that some of the charts and examples presented in a broker-dealer's advertising literature are based on hypothetical trades.
C) an agreement that a client must sign prior to executing any short sales with the broker-dealer.
D) an agreement signed by a client who is executing a margin transaction that allows the broker to hold the margined securities in street name as collateral for the loan.

4. The Administrator may require a firm to supply it with any prospectus, pamphlet, advertisement, or other sales literature intended for prospective investors unless the security
I. will be sold only through an investment advisory firm.
II. is a federal covered security.
III. is issued by a state credit union.

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

5. Which of the following is not considered to be a security, as defined by the Uniform Securities Act (USA)?

A) a debenture
B) a put option
C) an annuity contract wherein an insurance company promises to pay a fixed sum, either in a lump amount or through periodic payments.
D) a certificate of deposit (CD)

Solutions: