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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In its prospectus, the YourMoney Mutual Fund provides charts and tables of its average annual return over the past year, three years, five years, and ten years. The fund's return has indeed been phenomenal over this time period, beating the S&P 500 Index by at least 15%. The prospectus states that this is because the fund invests in securities that are riskier and that, therefore, an investor can expect the fund to continue earning a return higher than the S&P 500 Index.
Is YourMoney guilty of any security violations?

A) No. Regulations require only that the mutual fund provide charts and tables of its average annual returns, with a statement comparing the fund performance with a relevant market index. YourMoney has done this and more.
B) No. YourMoney properly revealed to prospective investors the fact that its higher than average returns are the result of its investment in riskier securities.
C) Yes. There is no way the fund could have beaten the S&P 500 Index by at least 15% over the past ten years. The fund is obviously misstating its returns.
D) Yes. YourMoney is guilty of fraud in claiming that "an investor can expect the fund to continue earning a return higher than the S&P 500 Index." Past performance is no indication of future performance.

2. Which of the following trades is illegal?

A) the sale of a mutual fund if the purchaser hasn't received a prospectus
B) a margin transaction
C) a market-not-held order
D) a short sale

3. Cal Turner calls his client and recommends that the client sell his shares in the Alpha High Quality Bond Fund and use the proceeds to buy shares in the Omega High Quality Bond Fund. Cal has done nothing unethical if his recommendation is based on the fact that

A) the Omega Fund has a front-end load.
B) the Alpha Fund has been performing poorly relative to other funds in the same category.
C) the Alpha Fund has a back-end load.
D) It would always be unethical for Cal to recommend that a client sell shares in one fund in order to buy shares of another fund that has the same investment objective.

4. A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.

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

5. 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) Yes. The agent who executes your purchase order has engaged in illegal insider trading.
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) No. You are in no way related to your next-door neighbor's brother, and she could have been lying.

Solutions: