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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following orders can an Administrator issue without providing prior notice?

A) license revocation
B) license denial
C) cease and desist
D) license suspension

2. Mr. L. Ranger is an agent for a broker-dealer and has overheard "talk" that a merger between two well-known high-tech companies is about to take place. Mr. Ranger knows that, on average, in these instances the target firm's price spikes. He calls his client and good friend, Mr. Tonto, and tells him of the rumor, suggesting that Tonto might want to buy shares in the target firm. He tells Mr. Tonto that if the rumor isn't true, the target firm's price may not spike at all and may, in fact, decline, and suggests that Mr. Tonto not invest any money he isn't willing to lose. Mr. Ranger knows that his friend likes to gamble, and decided he wouldn't be much of a friend if he didn't inform Tonto of this potential opportunity.
Has Mr. L. Ranger violated any laws or engaged in any prohibited practices?

A) Yes. Mr. Ranger has engaged in fraud in telling Mr. Tonto about the rumor, given that the merger hasn't been officially announced by the two companies.
B) Yes. Mr. Ranger is privy to knowledge that is not available to the general public and both he and Mr.Tonto will be guilty of illegal insider trading if Mr. Tonto trades on Mr. Ranger's information.
C) No. Mr. Ranger and Mr. Tonto are friends, so there can be no violations of any laws or practices because of their non-business relationship.
D) No. Mr. Ranger has informed Mr. Tonto that the merger is just a rumor and has informed him of the risk involved. Mr. Ranger is knowledgeable about his friend's risk tolerance level as well and recognizes this investment as one his good friend might want to take.

3. You are a newly licensed agent and are making cold calls to generate business. According to the Telephone Consumer Protection Act of 1991 (TCPA), you may only place your calls between the hours of

A) 8 a.m. and 7 p.m., based on the Pacific Time Zone.
B) 8 a.m. and 9 p.m., based on your time zone.
C) 8 a.m. and 7 p.m., based on your prospective customer's time zone.
D) 8 a.m. and 9 p.m., based on your prospective customer's time zone.

4. An investment adviser
I. provides investment advice to clients.
II. sells securities to clients.
III. buys and sells securities in their clients' accounts for the clients.

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

5. Which of the following actions is the Administrator of a state empowered to take?

A) gather evidence
B) impose civil penalties in cases of fraud
C) require restitution for the victims of a scam
D) The Administrator of a state has the authority to take all of the above actions.

Solutions: