FINRA Uniform Securities Agent State Law Examination : Series_63

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A hypothecation agreement refers to

A) an agreement wherein a client gives his broker-dealer discretion to purchase securities that the
broker-dealer deems appropriate in whatever quantity the broker-dealer feels appropriate and at a time
and price the broker-dealer believes is a good deal.
B) an agreement that a client must sign prior to executing any short sales with the broker-dealer.
C) a document signed by a client indicating that he or she understands that some of the charts and
examples presented in a broker-dealer's advertising literature are based on hypothetical trades.
D) an agreement signed by a client who is executing a margin transaction that allows the broker to hold
the margined securities in street name as collateral for the loan.

2. Desi Genuos is an agent with Broker-Dealer CanDo. A client has asked Desi to recommend a mutual fund
that does not have a sales charge. Desi recommends a fund that has no front-
end load although it does have a deferred sales load if the investor redeems his shares within the first
three years of ownership, but the client has informed Desi that he is looking at this as a long-term
investment. Based on these facts, Desi

A) will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."
B) is not in violation of any rules because he is an agent of a broker-dealer and is not affiliated with the
fund he has recommended in any manner.
C) is in violation of NASAA rules regarding investment company shares.
D) is not in violation of any rules since the fund has no front-end load and the deferred sales load will not
apply to this client, given his indication that this is meant to be a long-term investment.

3. In its capacity as a full service broker, A-2-Z Associates is also in the investment advisory industry,
charging its clients for investment advice for additional remuneration. One of the firm's clients has been
advised to buy some U.S. government treasury inflation-protected securities (TIPS.) A-2-Z is a dealer in
these securities in the secondary market. Which of the following statements is true?

A) Under no circumstances may A-2-Z sell the client TIPS that A-2-Z holds in its own portfolio. This would
be a conflict of interest.
B) A-2-Z can only sell the client TIPS if it informs the client it is acting as the seller in this transaction and
receives the client's written consent before the transaction is settled.
C) A-2-Z can sell the client TIPS from its own portfolio as long as it tells the client that it is taking on the
part of the seller in the transaction.
D) A-2-Z can sell the client TIPS indirectly by getting a 3rd party-another broker-dealer-to effect the sale.

4. Nancy's Aunt Ethel died, making Nancy executrix of her estate. In going through Aunt Ethel's belongings,
Nancy discovered some stock certificates that she learned had been issued by a small New Jersey firm
that was still in business. The problem lay in the fact that Nancy's Aunt Ethel had moved from New Jersey
to Florida years ago, and the stock is registered only in the state of New Jersey. Nancy herself is a
resident of Massachusetts. What does Nancy have to do in order to sell this stock?

A) Nancy can sell the stock without a problem as executrix of her aunt's estate.
B) Nancy will need to contact a securities law firm in Florida to help her register the stock in the state of
Florida.
C) Nancy will need to contact a broker-dealer licensed in the state of New Jersey to help her with the sale
of this stock.
D) Nancy will have to establish a mailing address in New Jersey before she can legally sell this stock.

5. While on vacation in Colorado, Massachusetts resident Ms. Jetset meets Mr. Snow, a registered
representative with a Colorado broker-dealer, on a ski lift and accepts a dinner engagement with him later
that evening, during which he obtains her cell phone number. A week later, while she is lounging around
in her Florida beach condo, he calls and interests her in a local software company that is selling its
preferred stock to investors and encourages her to buy it. Ms. Jetset tells Mr. Snow she'll think about it
and calls him after she returns to her home in Massachusetts to tell him to buy the stock for her and sends
him a check via express mail. Later, Ms. Jetset learns that the preferred stock certificate that she received
is-and always was-a worthless piece of paper, and that, in fact, no such company ever existed. Which
state Administrator has jurisdiction in this instance?
I. the Administrator of the state of Colorado
II. the Administrator of the state of Florida
III. the Administrator of the state of Massachusetts

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

Solutions: