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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The state of Massachusetts has issued a general obligation (G.O.) bond that pays 3% interest. As an
agent selling this bond, you can legitimately tell the investor that

A) the bond is guaranteed by the state of Massachusetts and is, therefore, a risk-free investment.
B) all state general obligation bonds are also guaranteed by the federal government.
C) the interest income the investor receives from the bond will be free from federal taxation.
D) all of the above statements are true.

2. Which of the following does not describe a prohibited practice for broker-dealers under the NASAA Model
Rules?
I. SecureMoney Broker-Dealers has received a request from a client who wants SecureMoney to "identify
a few solid firms in the Asian market and invest up to $20,000 in them." SecureMoney executes the
purchases and receives the requisite signed discretionary authorization from the client before the
settlement date.
II. CanDo Broker-Dealers executes a margin transaction for a client, promptly receiving a signed, written
margin agreement from the client after the transaction takes place.
III. GetErDone Broker-Dealers receives a call from a client who wants to purchase some securities on
margin. GetErDone has the client come into the office to sign a properly executed margin agreement prior
to effecting the transaction.

A) I and III only
B) II and III only
C) None of the selections are prohibited practices.
D) III only

3. Goldie Locks is an agent with Bear Broker-Dealers. One of her clients is a single woman, Annie Spinster,
who is retired and needs income from her investment portfolio to meet her current needs for liquidity. In
addition to investing in mutual funds, Annie likes the thrill of investing in single stocks and asks Goldie for
recommendations. Goldie recommends Annie invest some of her money in Alcon (ACL), a medical
instrument and supplies company selling on the NYSE, based on the fact that it has a high dividend yield
and is paying a dividend of $2.21 a share, which is guaranteed to continue or even increase, Goldie
assures Annie. Has Goldie violated any laws or engaged in any prohibited practices?

A) No. Goldie merely responded to a recommendation request from a client, and the recommendation is
suitable since the client has a need for current income and the recommended stock pays a high dividend.
B) Both A and B are true.
C) Yes. As the agent of a broker-dealer, Goldie is not permitted to make recommendations for specific
investments. Only investment adviser representatives and investment advisers can do that.
D) Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend
will continue or increase.

4. If a person has had its license revoked by the Administrator of the state and has appealed the decision to
a court of law, that person

A) must notify the Administrator of the state that it has appealed the decision.
B) Both B and C are true statements.
C) is considered to have a revoked license until the courts rule otherwise.
D) can continue business as usual pending the resolution of the appeal.

5. For how long after the effective date is a security's registration valid?

A) one year
B) six months
C) two years
D) three months

Solutions: