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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A broker-dealer will be found guilty of churning an account if the account has a turnover ratio of

A) four.
B) There is no specified turnover ratio assigned to the prohibited practice of churning.
C) five.
D) eight.

2. The state official who has regulatory authority over the securities industry within the state is known as the

A) secretary of state.
B) investor-protection officer.
C) attorney-general.
D) administrator.

3. You are employed as an agent with CanDo Broker-Dealers. Your brother is software engineer with
VideoMagic. When you were talking to him on the phone the other day, he told you that he overheard a
conversation by some of the firm's executives that indicated that VideoMagic was about to take over
another software company. Which of the following would violate insider trading rules?
I. The next day, you get an unsolicited call from a client requesting that you sell his shares in Video Magic,
and you execute the trade.
II. You buy stock in Video Magic's target firm in anticipation that its stock price will rise when the
information becomes public.
III. You recommend the stock of Video Magic's target firm to investors based on the fact that, on average,
the stock price of target firms increases.

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

4. Shady Corporation's executives are concerned over the firm's steadily declining stock price and decide to
do something about it. They each decide to make significantly large purchases of their firm's stock in
order to stabilize and hopefully even to drive up its price, reasoning that they can sell the stock for the
higher price down the road and profit from the transaction. You are a broker-dealer for the firm's
executives. Are Shady's executives planning to do anything illegal?

A) No. It's a win-win. They are using their own money to buy stock of their firm, and this can help drive the
stock price up and put profits in their pockets.
B) Yes. To purchase shares of their own company is considered to be illegal insider trading.
C) Yes. Although it is not illegal for them to purchase shares of their firm's stock, they cannot do so in
order to try to manipulate the price of the stock.
D) No. As long as they follow the rules and report their purchases to the SEC, it is not illegal for them to
purchase shares of their firm's stock.

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) tell Mr. I.M. Pulse that this would be an illegal insider trade and that you are unable to fulfill his request.
B) do both A and B.
C) 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.
D) advise Mr. Pulse that he may be jumping the gun, but place the order if he insists.

Solutions: