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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm.
When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public. In this scenario, which party is the issuer?

A) Mr. Bigwig
B) HiGrowth Corporation
C) GetErDone Broker-Dealers
D) BigFee Investment Bankers

2. Which of the following laws deals with identity theft protection?

A) the Bank Secrecy Act (BSA)
B) Regulation S-P
C) ERISA
D) the USA Patriot Act

3. Which of the following are examples of the prohibited practice of manipulation in the securities markets?
I. Broker-Dealer Joker is unhappy with its investment in the stock of a speculative firm and engages another broker-dealer to purchase a large number of shares from it, with the unofficial agreement to buy back those shares, offer more shares which the second broker-dealer will purchase, and so on.
II. Broker-Dealer Joker has a large short position in the stock of a certain corporation. Joker offers a bonus to its agents who effect sale transactions in the stock.
III. A client calls Broker-Dealer Joker with a request to purchase 20 bonds issued by Massachusetts Institute of Technology (MIT.) The bonds are currently selling for their par value of $1,000. Knowing this, Joker offers to sells the client the bonds for $120 per $100 of par, or $1,200 per $1,000 bond.

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

4. You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the order ticket will be

A) Monday, September 27th.
B) Tuesday, September 28th.
C) Friday, September 24th.
D) Thursday, September 23rd.

5. Which of the following may be given to prospective investors during the "cooling off period?"

A) a copy of the registration statement
B) all of the above
C) a tombstone advertisement
D) a final prospectus

Solutions: