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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following is an example of commingling?

A) Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the
client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account.
B) All of the above are examples of commingling.
C) In order to generate more commissions for herself Ms. Fox makes trades on some of her client's
accounts and has the trade confirmations sent to a P.O box she owns.
D) Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for
which Mr. Hawk works.

2. An individual who represents a broker-dealer in the buying and selling of securities is called a(n):

A) issuer
B) underwriter
C) administrator
D) agent

3. You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the
order ticket will be

A) Tuesday, September 28th.
B) Thursday, September 23rd.
C) Monday, September 27th.
D) Friday, September 24th.

4. Ms. Muffet is employed by Spyder Broker-Dealers. Her job duties include providing price quotes and
executing purchases and sales for the firm's clients. She is paid a salary plus commission. Ms. Muffet is

A) an investment adviser representative.
B) a broker-dealer.
C) an investment adviser.
D) an agent.

5. Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on
abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to
be overpriced based on its yield and buying a bond that is identical in almost every respect except for the
price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time
when he does this. Rich Quick

A) is trading on insider information, which is a violation of securities laws.
B) is in violation of securities laws. Arbitrage is a prohibited activity.
C) is skilled if he is able to earn profits 95% of the time using this strategy.
D) engaged in a fraudulent activity.

Solutions: