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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A broker-dealer is required to keep his records for how long?

A) at least seven years
B) broker-dealer is required to keep his records for as long as he is registered in the state.
C) at least five years
D) at least three years

2. 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.
C) an investment adviser representative.
D) an agent.

3. Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed every material fact, how long does the Administrator have after the effective date of the registration to commence a proceeding to deny, suspend, or revoke that person's license based on those facts?

A) one year.
B) 60 days.
C) 30 days.
D) 90 days.

4. Which of the following would not be a prohibited activity for a broker-dealer?
I. A broker-dealer tells a client that a municipal revenue bond offered by the city of Boston, Massachusetts is almost risk-free because it is backed by the taxes paid to the city, and the city generates a lot of tax dollars.
II. A broker-dealer sells a client some bonds that the broker-dealer has in its portfolio, after informing the client that it is acting as a seller in the transaction.
III. A broker-dealer purchases some stock that a client is selling for its own portfolio, after informing the client that it is acting as a buyer in the transaction.
IV. A broker-dealer purchases 1,000 shares of Southwest Airlines for a client who calls and asks the broker-dealer to buy some shares of a domestic airline stock at a good price for him and receives written discretionary authority from the client two days later, prior to the settlement date.

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

5. The trade confirmation must be received by the customer no later than

A) one week after the settlement date.
B) the settlement date.
C) five business days after the settlement date.
D) the day after the trade takes place.

Solutions: