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FINRA Uniform Securities Agent State Law Examination Sample Questions:

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

2. Which of the following is an example of a non-issuer transaction?

A) Jose purchases a 10-year bond issued by Progress Energy when it has 6 years remaining to maturity.
B) Google offers more shares of its stock for sale to the public.
C) NewCorp, which has been a privately held company, is engaging in an initial public offering (IPO) of its stock.
D) IBM sells a new issue of bonds to an insurance company.

3. Jack Bean is employed by Giant Investment Advisers, LLC. His job duties include advising clients on the asset allocations of their portfolios. Jack Bean is

A) an investment adviser.
B) an administrative assistant.
C) an investment adviser representative.
D) an agent.

4. A-2-Z Associates is a full service brokerage and is also in the investment advisory industry, charging its clients for investment advice for additional remuneration.
Which of the following statements is true?

A) A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no commissions may be collected.
B) A-2-Z can charge the client both an advisory fee for its advice and a commission on any trade the client makes based on the advice. This is all laid out in the advertising brochures full service brokerage firms like A-2-Z provide their prospective clients.
C) A-2-Z can charge the client both an advisory fee for its advice and a commission for the execution of a trade based on that advice, but it must inform the client of its potential conflict of interest in doing so and get the client's written consent.
D) A-2-Z can charge an individual client an advisory fee for its advice or a commission when it executes a trade that the client makes based on that advice, but not both.

5. The Turnover Corporation, a firm with 25,000 employees, has recently hired 50 new employees, many of whom have been hired to replace middle-level managers who have retired. Turnover has omitted this fact from its prospectus. Turnover is guilty of

A) nothing. The hiring of 50 new employees by a firm with 25,000 employees is not a material fact.
B) misrepresentation.
C) misusing insider information.
D) fraud.

Solutions: