FINRA Uniform Securities State Law Series63

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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 Alpha Fund has a back-end load.
B) the Alpha Fund has been performing poorly relative to other funds in the same category.
C) the Omega Fund has a front-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.

2. Which of the following would fall under the definition of "agent," as defined by the Uniform Securities Act (USA)?

A) None of the above would fall under the definition of "agent," as defined by the Uniform Securities Act (USA.)
B) Freedom broker-dealers executes the purchase and sale of securities for its customers.
C) Joe works as an administrative assistant for broker-dealer GetErDone, doing data entry, filing client forms that contain confidential information, and directing calls to registered representatives of the firm.
D) TrustUs Bank has a subsidiary operation that sells mutual funds to the public.

3. An investment adviser may not

A) take a position-either long or short-in securities in which any of its clients have a position.
B) also be registered as a broker-dealer in the state.
C) recommend a stock to a client that the adviser itself holds without disclosing to the client that the adviser owns the stock.
D) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their clients' accounts.

4. The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can be subject to which of the following penalties?

A) up to 3 years in prison, a $5,000 fine, or both
B) up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
C) up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
D) up to 5 years in prison and a fine of $1,500,000 or both

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

Solutions: