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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. While on vacation in Colorado, Mr. Moneybags became interested in the stock of a company called
SafeAway, which designs and installs customized high-tech security systems in the multimillion dollar
mansions located in Colorado's pricier ski resort areas, such as Vail and Aspen. Upon returning to his
home in Boston, he calls his broker-dealer with an order to purchase 10,000 shares of the stock, which he
learned trades in the over-the-counter market. Fast Eddie, a registered agent with his broker-dealer,
discovers that SafeAway's stock is registered only in the states of Colorado and Wyoming. Neither Fast
Eddie nor his broker-dealer are registered to do business in either of those states. Under these
circumstances,

A) Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt
transaction because it is a private placement.
B) Fast Eddie cannot effect Mr. Moneybags purchase of SafeAway stock since neither he nor his broker
are registered to do business in Colorado or Wyoming, and SafeAway stock is not registered for sale in
the state of Massachusetts.
C) Fast Eddie should contact a broker-dealer that is registered in either Colorado or Wyoming and
negotiate a finder's fee for referring Mr. Moneybags to them.
D) Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt
transaction because it is an unsolicited transaction.

2. A "market not held" order is

A) an order to buy or sell a stock at a specified price, which differs from the current market price.
B) an order to sell securities that the investor owns if the stock decreases by a certain amount from the
current price.
C) a prohibited activity in which an agent engages in the purchase or sale of securities that are not offered
by his broker-dealer.
D) an order in which the client tells the broker to use his own discretion in timing a purchase or sale in an
attempt to get a better price.

3. Which of the following persons falls under the definition of "broker-dealer," as defined by the Uniform
Securities Act (USA)?

A) MyTrades is a sole proprietorship owned by Nathan Newmoney, who has established the firm solely to
make trades on his own account, thereby avoiding the commissions he would have to pay a middleman.
B) Juan is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and
receives a commission on the shares he sells.
C) Marge is a loan officer at Treadwater Bank and Trust.
D) Michaela is employed by GetErDone broker-dealers and sells both exempt and non-exempt securities
to GetErDone's clients.

4. A broker-dealer will be found guilty of churning an account if the account has a turnover ratio of

A) four.
B) five.
C) There is no specified turnover ratio assigned to the prohibited practice of churning.
D) eight.

5. Ms. Muffet is employed by Spyder Broker-Dealers. Her job duties include providing price quotes and
executing purchases and sales for the firm's clients. She is paid a salary plus commission. Ms. Muffet is

A) a broker-dealer.
B) an investment adviser representative.
C) an investment adviser.
D) an agent.

Solutions: