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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The discretionary powers over a clients' accounts differ between broker-dealers and investment advisers
in that

A) An investment adviser can execute a discretionary transaction for a client upon receiving only verbal
authority initially, followed up by written authority to be received within 10 days of the order, whereas a
broker-dealer must require that written authority for the transaction is provided before the transaction
even takes place.
B) An investment adviser can execute a discretionary transaction for a client upon receiving only verbal
authority initially, followed up by written authority to be received within 10 days of the order, whereas a
broker-dealer must require that written authority for the transaction is in the mail before proceeding with
the transaction.
C) A broker-dealer can execute a discretionary transaction for a client upon receiving only verbal authority
initially, followed up by written authority to be received within 10 days of the order, whereas an investment
adviser must require that written authority for the transaction is in the mail before proceeding with the
transaction.
D) A broker-dealer can execute a discretionary transaction for a client upon receiving only verbal authority
initially, followed up by written authority to be received within 10 days of the order, whereas an investment
adviser must require that written authority for the transaction is provided before the transaction even takes
place.

2. Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly
refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her
commissions from these transactions to the parish. Is Carrie doing anything illegal?

A) No. Carrie is just donating some of her commissions back to the church, and transactions with
B) It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with
C) It depends. As long as the church parishioners are aware of the arrangement between Carrie and
D) Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer

3. A broker-dealer of commodity futures contracts has been profiting by trading for its own account either
before or after executing a client's trade on the same commodity, depending on which will be most
advantageous. Under the Uniform Securities Act, the broker-dealer is guilty of

A) unauthorized transactions.
B) nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract
is not a security.
C) fraud.
D) churning.

4. Mr. Teche is an agent with broker-dealer CanDo, and his only compensation is the commissions he earns
on trades he executes. He has applied for and been granted an adjunct teaching position with a local
university that will allow him to earn money while he is establishing himself. Which of the following
statements are true?

A) As an agent with broker-dealer CanDo, Mr. Teche must notify CanDo in writing of this position prior to
accepting it.
B) Mr. Teche is, in essence, an independent contractor with broker-dealer CanDo and can engage in any
other business activity at will.
C) Both A and B are true.
D) CanDo can deny Mr. Teche permission to accept the adjunct teaching position.

5. You are an investment adviser representative. Your client, Mr. I. M. Pulse, calls you with what he thinks is
exciting news. He just passed a restaurant and saw Microsoft's Bill Gates having lunch with a local
entrepreneur who owns a small firm in the computer software industry that trades on the OTC pink sheets.
He is sure that this means Microsoft is negotiating a purchase of the smaller company and instructs you to
take the cash balance in his account and buy shares of the local company. You should

A) advise Mr. Pulse that he may be jumping the gun, but place the order if he insists.
B) call your supervisor and alert him immediately of Mr. Pulse's attempt to have you place an illegal order
on his behalf in case Mr. Pulse decides to place the order elsewhere.
C) tell Mr. I.M. Pulse that this would be an illegal insider trade and that you are unable to fulfill his request.
D) do both A and B.

Solutions: