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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to be overpriced based on its yield and buying a bond that is identical in almost every respect except for the price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time when he does this. Rich Quick

A) is skilled if he is able to earn profits 95% of the time using this strategy.
B) is in violation of securities laws. Arbitrage is a prohibited activity.
C) is trading on insider information, which is a violation of securities laws.
D) engaged in a fraudulent activity.

2. Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a job as a receptionist at a fitness club on the weekends to generate more income.
Which of the following is true?

A) Mina should have notified SecureMoney in writing before signing on to work at the fitness club.
B) Mina needs to send notice to the state Administrator informing him of her extracurricular activity.
C) Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has done nothing inappropriate.
D) Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.

3. Which of the following practices would be prohibited in connection with the sale of investment company shares?
I. selling a client shares of a load stock fund when a no load stock fund with the same investment objective exists II. selling the client shares of five S&P 500 Index mutual funds, offered by different fund families III. encouraging a client to swap his money between two funds in the same family without informing him that this creates a taxable event

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

4. Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the holder the right to buy 5 shares of Layered's common stock at a price stipulated on the warrant.
In this instance, Layered must file to register which of the following securities with the state?
I. the bonds
II. the warrants
III. the common stock

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

5. Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC must now
I. file a new U-5 form with the Administrator.
II. meet higher net capital requirements than before.
III. file an updated Form ADV with the Administrator.
IV. pay a CPA to do an annual unannounced audit of the firm.

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

Solutions: