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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer with an office just across the state line.
Don can enter a commission-splitting agreement with

A) Either Huey, Dewey, or Louie or any combination of the three
B) Huey only
C) Dewey only
D) either Huey or Dewey or both

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

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

3. Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to register as a sales representative if he:

A) Jack will need to register as a sales representative if he performs any one of the above activities.
B) participates in the selling of the new stock to individual investors.
C) engages in transactions with the underwriters of the IPO for the purpose of taking the firm public.
D) represents NewCorp in any transactions with financial institutions.

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

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

5. Mr. Noah Scruples is a registered representative with CanDo Broker-Dealers. A client calls and wants Noah to purchase shares of a mutual fund the client has read about. CanDo is not authorized by this particular fund to effect purchases or sales of the fund shares.
Can Noah execute the order anyway?

A) Yes. Since this is an unsolicited trade, Noah can execute the transaction on behalf of his client.
B) No. This would be considered money laundering, which is highly illegal.
C) No. This is a prohibited practice known as front running.
D) No. This is a prohibited practice known as selling away.

Solutions: