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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A hypothecation agreement refers to

A) an agreement that a client must sign prior to executing any short sales with the broker-dealer.
B) 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.
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. Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the
holder the right to buy 5 shares of Layered's common stock at a price stipulated on the warrant. In this
instance, Layered must file to register which of the following securities with the state?
I. the bonds
II. the warrants
III. the common stock

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

3. MoeMoney Investment Advisers, LLC is registered in the state of Texas, and its three offices are all
located in the greater Dallas-Fort Worth area. Five of its clients-all individuals-have relocated to Colorado
and all have indicated a desire to retain the services of MoeMoney. In order for this to be possible,

A) Neither MoeMoney nor its clients need do anything.
B) each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's
behalf.
C) MoeMoney will need to apply for and be granted registration as an investment adviser representative in
the state of Colorado.
D) MoeMoney will need to apply for and be granted registration as an investment adviser in the state of
Colorado.

4. Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a
certain stock. The report was generated by CanDo's analyst department and is hot off the presses. It has
not yet even been put on the firm's website for the firm's clients.
The analyst department has just changed its recommendation on the stock from "Hold" to "Strong Buy"
based on new information that it has obtained on the company. Can Noah
rush to his office to buy shares of the stock before the analysts release their reports to CanDo's clients?

A) No. It is unethical for him to trade based on this information before the firm's clients have received the
information.
B) No. This is a prohibited activity referred to as "painting the tape."
C) Both B and C are true statements.
D) Yes. The firm's analysts used publicly available information to assess the stock and make its
recommendation, so Noah can buy the stock now on his own account.

5. Finn Nance has recently passed his CFP exam and is now a certified financial planner. He has new
business cards printed that have the words "Certified Financial Planner" printed under his picture. In doing
so,

A) Finn is not in violation of any laws as long as he has notified the state Administrator of his new
designation and his new logo.
B) Finn has possibly violated a state securities regulation. The Administrator in many states prohibits the
use of the word "certified" on any advertisement for services.
C) Finn has not violated any laws or engaged in any prohibited practices.
D) Finn has violated a securities law. The Uniform Securities Act prohibits anyone from using the word
"certified" on any advertisement for services.

Solutions: