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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 trading on insider information, which is a violation of securities laws.
C) engaged in a fraudulent activity.
D) is in violation of securities laws. Arbitrage is a prohibited activity.

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

3. If an issuer registers securities with the state, how long can the documentation supplied in the registration statement for those securities be incorporated by reference only into a registration statement for future securities the issuer wants to offer for sale?

A) five years
B) one year
C) two years
D) seven years

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

A) a corporation
B) a school district
C) a law firm that is organized as a partnership
D) a 16-year old cheerleader

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

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

Solutions: