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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Under NASAA Model Rules, it is permissible for the registered representative of a broker-dealer to split
his or her commission with
I. a client.
II. the broker-dealer with which the registered representative is affiliated.
III. another registered representative working for the same broker-dealer.
IV. the administrative assistant who directs calls to the registered representative and provides other
services for the agent.

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

2. The C&S Railroad is in the process of issuing new bonds. Before these bonds can be offered for sale,

A) they must be registered with the SEC since railroads are involved in interstate commerce.
B) they must be registered with the SEC and in each state through which the railroad passes.
C) they must be registered in every state in which the bonds will be sold to investors.
D) None of the above statements is true.

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 only
C) I and II only
D) I and III only

4. The state official who has regulatory authority over the securities industry within the state is known as the

A) investor-protection officer.
B) attorney-general.
C) secretary of state.
D) administrator.

5. Which of the following conditions is necessary for an act involving securities fraud to be considered
criminal and subject to criminal penalties?

A) The act extended across state lines.
B) The perpetrator willfully committed the fraudulent act.
C) The victim(s) lost a combined total of at least $25,000 because of the act.
D) The Administrator decides to send the case to criminal court.

Solutions: