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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following are examples of the prohibited practice of manipulation in the securities markets?
I. Broker-Dealer Joker is unhappy with its investment in the stock of a speculative firm and engages
another broker-dealer to purchase a large number of shares from it, with the unofficial agreement to buy
back those shares, offer more shares which the second broker-dealer will purchase, and so on.
II. Broker-Dealer Joker has a large short position in the stock of a certain corporation. Joker offers a
bonus to its agents who effect sale transactions in the stock.
III. A client calls Broker-Dealer Joker with a request to purchase 20 bonds issued by Massachusetts
Institute of Technology (MIT.) The bonds are currently selling for their par value of $1,000. Knowing this,
Joker offers to sells the client the bonds for $120 per $100 of par, or $1,200 per $1,000 bond.

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

2. Ken Con is an agent with Blue Sky Broker-Dealers. He gets up early each morning so that he can study
any late-breaking news that may affect the markets and figure out ways to incorporate this news into
conversations with select clients in order to pressure them to restructure their portfolios by selling
holdings they have in one particular industry to invest the money in another particular industry. Ken has
been very successful with this strategy and executes more trades for his clients than any other agent with
the firm, but is he in danger of losing his license?

A) It depends. If his clients have lost money, Ken may lose his license; but if a review indicates that his
clients' accounts earn profits, then his license is safe.
B) No. Ken is just a successful sales person who is working harder than the other agents in the firm.
C) Yes. Ken is guilty of the prohibited practice of "tailgating."
D) Yes. Ken is engaging in churning, a prohibited practice and can have his license revoked or
suspended.

3. Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to
register as a sales representative if he:

A) represents NewCorp in any transactions with financial institutions.
B) engages in transactions with the underwriters of the IPO for the purpose of taking the firm public.
C) Jack will need to register as a sales representative if he performs any one of the above activities.
D) participates in the selling of the new stock to individual investors.

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

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

5. Which of the following would not appear on a trade confirmation?

A) the settlement date
B) the commission
C) the client's account number
D) All of the above items appear on a trade confirmation.

Solutions: