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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail
from Mr. Wolf regarding her performance as his agent. What are Ms. Swyne's legitimate options?

A) Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to
revoke the complaint.
B) Ms. Swyne must forward the complaint to the state Administrator.
C) Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.
D) As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and
make it all go away.

2. Which of the following is an example of commingling?

A) All of the above are examples of commingling.
B) Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for
which Mr. Hawk works.
C) Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the
client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account.
D) In order to generate more commissions for herself Ms. Fox makes trades on some of her client's
accounts and has the trade confirmations sent to a P.O box she owns.

3. The net worth of a broker-dealer has fallen below the minimum net capital requirement specified by the
state in which the broker-dealer is registered. This broker-dealer must notify the Administrator of this fact

A) before the beginning of the next quarter.
B) within a week's time.
C) by the close of business on the next business day.
D) before the end of the month.

4. Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the
Administrator?

A) It depends. If Maddie becomes affiliated with another broker-dealer within thirty days, then she must
notify the Administrator of her termination with QuikDeals and her current affiliation with the new firm.
Otherwise, only QuikDeals must notify the Administrator.
B) Both QuikDeals and Maddie are responsible for notifying the Administrator.
C) Maddie has the sole responsibility for notifying the Administrator.
D) QuikDeals has the sole responsibility for notifying the Administrator. Maddie is no longer deemed to be
an agent after she terminated her relationship with QuikDeals, so she need do nothing.

5. 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) 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.
C) 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.
D) 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.

Solutions: