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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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) Yes. Bob is guilty of prohibited practice of churning.
C) No. Bob has a fiduciary responsibility to his client to act in his best interest, and Bob knew this
D) Yes. It is against the law for an agent to open a margin account for a client without the client's

2. The net worth of a broker-dealer has fallen below the minimum net capital requirement specified by the
state in which the broker-dealer is registered. This broker-dealer must notify the Administrator of this fact

A) within a week's time.
B) by the close of business on the next business day.
C) before the beginning of the next quarter.
D) before the end of the month.

3. An investment adviser may not

A) take a position-either long or short-in securities in which any of its clients have a position.
B) recommend a stock to a client that the adviser itself holds without disclosing to the client that the
adviser owns the stock.
C) also be registered as a broker-dealer in the state.
D) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their
clients' accounts.

4. Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his
portfolio to banks and insurance companies located in the state that purchase the bonds for their
investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the
price appreciation of the bonds during the time he held them, but receives no other form of compensation.
Based on these facts,

A) Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.
B) Wheeler need not register in the state, but the securities must be registered before they can be sold to
in-state investors.
C) Wheeler must register as a broker-dealer in the state, and the securities must also be registered before
they can be sold to in-state investors.
D) Wheeler need not register in the state, and the securities are also exempt from registration.

5. Which of the following statements is false?

A) None of the above statements is false; all are true statements.
B) A state cannot require a higher minimum net capital for broker-dealers than the amount specified by
the Securities Exchange Act of 1934.
C) A state cannot require a higher minimum net capital for investment advisers than the amount specified
by the Investment Advisers Act of 1940.
D) The minimum net capital requirement for investment advisers that take custody of their clients' assets
is higher than the net capital requirement for advisers who do not take custody of the assets.

Solutions: