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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following statements best explains the difference between an agent and a broker-dealer?

A) A broker-dealer must be licensed in the state in which he conducts business, but there are no separate
licensing requirements for agents.
B) An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he
does not own in return for a commission on the transactions he executes. A broker-dealer may also buy
and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on
those securities.
C) Agents conduct their business exclusively in the secondary market, while broker-dealers also operate
in the primary market.
D) Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy
and sell bonds and option contracts.

2. Gazillions is an investment adviser with offices in the state that is registered with the SEC and has $100
billion dollars under management. A client has filed a complaint asserting that the firm has been involved
in fraudulent activities. In this case,

A) Gazillions is in trouble for not registering with both the state and the SEC given the amount of money it
has under management.
B) Gazillions has to answer to both the SEC and the state in which the complaint was filed.
C) Gazillions only has to answer to the state in which the complaint was filed.
D) Gazillions only has to answer to the SEC regarding the allegations. Since it is a federal covered
investment adviser, it need not respond to any state-issued requests for information.

3. 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) engaged in a fraudulent activity.
B) is in violation of securities laws. Arbitrage is a prohibited activity.
C) is skilled if he is able to earn profits 95% of the time using this strategy.
D) is trading on insider information, which is a violation of securities laws.

4. Your client calls you with a market order to purchase 500 shares of the stock of Oracle and asks when
payment will be due. If today is Wednesday, September 15th, you inform the client that payment is due on

A) Monday, September 20th.
B) Thursday, September 16th.
C) Saturday, September 18th.
D) Friday, September 17th.

5. Your next-door neighbor's brother works for a large pharmaceutical company and confided in her that one
of the company's chemists has just discovered a compound that will cure baldness and that the firm plans
to make the discovery public later in the week. Your next-door neighbor passes this information on to you
over a cup of coffee the next morning. You immediately call your broker and place an order to buy shares
of the company's stock. Has any illegal insider trading taken place?

A) Yes. The agent who executes your purchase order has engaged in illegal insider trading.
B) Yes. You are guilty of illegal insider trading because you traded on information that had not yet been
made publicly available.
C) No. You are in no way related to your next-door neighbor's brother, and she could have been lying.
D) Yes. You, your neighbor, and her brother are all guilty of illegal insider trading.

Solutions: