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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would be an unsuitable recommendation for your 68-year-old client?

A) an S&P 500 Index mutual fund
B) a high quality corporate bond fund
C) a Treasury Inflation Protected Security (TIPS)
D) a deferred annuity

2. Mr. Noah Scruples is a registered representative with CanDo Broker-Dealers. A client calls and wants Noah to purchase shares of a mutual fund the client has read about. CanDo is not authorized by this particular fund to effect purchases or sales of the fund shares.
Can Noah execute the order anyway?

A) No. This is a prohibited practice known as front running.
B) No. This is a prohibited practice known as selling away.
C) Yes. Since this is an unsolicited trade, Noah can execute the transaction on behalf of his client.
D) No. This would be considered money laundering, which is highly illegal.

3. Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to a client who is purchasing a security?

A) a hypothecation agreement
B) a preliminary prospectus
C) a final prospectus
D) a margin agreement if the purchase is being made on margin

4. The settlement date refers to

A) the date the buyer must pay for the securities purchased.
B) the latest date on which broker-dealers can file their quarterly financial statements with the Administrator of the state.
C) the date the order to purchase or sell a security is actually executed. This may differ from the date that the order is sent to the market in the cases of limit or stop orders.
D) the date the order to purchase or sell the security is sent to the market.

5. BondsRUs is a broker-dealer that (unsurprisingly) specializes in bonds. The firm has found that it is able to sell Treasury bonds that it buys for $90 per $100 of par value for $99 per $100 of par value to some of its more naive clients, who never pay attention to the confirmation statements BondsRUs sends them. BondsRUs is guilty of

A) nothing. It is acting as a dealer in bonds and, as such, can charge its clients whatever the clients are willing to pay.
B) overcharging its clients by unreasonable markups. A $9 dealer's spread on Treasury bonds is unwarranted.
C) fraud.
D) both B and C.

Solutions: