About FINRA Uniform Securities Agent State Law Examination exam torrent

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You are an investment adviser representative. Your client, Mr. I. M. Pulse, calls you with what he thinks is
exciting news. He just passed a restaurant and saw Microsoft's Bill Gates having lunch with a local
entrepreneur who owns a small firm in the computer software industry that trades on the OTC pink sheets.
He is sure that this means Microsoft is negotiating a purchase of the smaller company and instructs you to
take the cash balance in his account and buy shares of the local company. You should

A) call your supervisor and alert him immediately of Mr. Pulse's attempt to have you place an illegal order
on his behalf in case Mr. Pulse decides to place the order elsewhere.
B) tell Mr. I.M. Pulse that this would be an illegal insider trade and that you are unable to fulfill his request.
C) advise Mr. Pulse that he may be jumping the gun, but place the order if he insists.
D) do both A and B.

2. The state of Massachusetts has issued a general obligation (G.O.) bond that pays 3% interest. As an
agent selling this bond, you can legitimately tell the investor that

A) all state general obligation bonds are also guaranteed by the federal government.
B) all of the above statements are true.
C) the bond is guaranteed by the state of Massachusetts and is, therefore, a risk-free investment.
D) the interest income the investor receives from the bond will be free from federal taxation.

3. Painting the tape refers to

A) the illegal activity of a group of investors who buy and sell a security among themselves to create an
artificially high volume of trading in hopes of luring investors to buy the security.
B) the prohibited practice of excessively trading on a client's account that is used by some broker-dealers
and/or their agents to generate more commissions for themselves.
C) the practice of buying large amounts of a security to drive its price up artificially.
D) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they
own themselves without disclosing the fact.

4. An investment adviser
I. provides investment advice to clients.
II. sells securities to clients.
III. buys and sells securities in their clients' accounts for the clients.

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

5. Although an Administrator has broad powers, he or she cannot:

A) issue subpoenas involving compulsory attendance.
B) gather evidence.
C) formulate rules and orders.
D) deliver a judicial injunction.

Solutions: