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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. An investment adviser or its representative may

A) only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
B) exercise discretionary power in the purchase or sale of securities for a client's account as long as
C) exercise discretionary power in the purchase or sale of securities for a client's account only after
D) exercise discretionary power in the purchase or sale of securities for a client's account as long as it
receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.

2. You have passed the necessary exams (congratulations!) and are applying for registration as a securities
agent. It is already the end of September. Therefore, you must pay

A) the full annual fee, and your license will expire on September 30th next year.
B) the full annual fee, and your license will expire on December 31st next year.
C) one-fourth of the annual fee required since only one quarter of the year remains.
D) the full annual fee, and your license will expire on December 31st this year.

3. Mr. and Mrs. Cleaver are nearing retirement and have made an appointment with Mr. Eddie, an
investment adviser representative who works for Haskell Investment Advisers, to get advice on how they
can better structure their investments to meet their retirement goals. Their son, Theodore, who has
recently graduated college and has a great job as a software writer for a video game company,
accompanies them. Mr. Eddie explains that the main goal of any plan is diversification and recommends
that Mr. and Mrs. Cleaver spread their investment monies equally among six load mutual funds that Mr.
Eddie can sell them. He suggests that Theodore follow suit and invest any monies he has equally among
the same ten funds. Has Mr. Eddie done anything wrong?

A) No. Diversification should, in fact, be the goal, and he has advised a well-diversified plan for his clients.
B) Yes. Clients who are ready to retire have different investment needs than a client who is just entering
the work force. The recommendation that both Theodore and his parents have the same asset allocation
is clearly unsuitable.
C) Yes. Mr. Eddie is guilty of misappropriation, a prohibited practice.
D) Yes. Mr. Eddie has advised his clients to invest in load funds when no load funds are clearly better
investments.

4. Which of the following scenarios describes activities that are disallowed under the NASAA Model Rules?
I. Broker-dealer Anon observes that a client placed a stop loss order to sell her 1,500 shares of
Amazon.com stock for $131 when the stock was selling for $134. Anon sold the stock for $133 when it
started to fall during the day and credited the client's account with $131 per share when stock dropped
further to $129 a share.
II. Penny is an agent with Broker-dealer Anon. She recently recommended that a client buy a stock that
Penny thought would do well. As it turned out, Penny was wrong, and she offers to refund the commission
that the client paid her.
III. Broker-dealer Anon is part of the selling group of a hot new IPO. As such, the firm purchases 50% of
the shares for its own portfolio and sells the remainder to the public.

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

5. D. Vious and Associates is a small broker-dealer trying to generate more business. To this end, the firm
had a professional four-color brochure printed that provides the years of industry experience of its
management along with other information. The firm's founder, Ms. D. Vious, is listed as having over 30
years of experience in the industry. Ms. D. Vious has worked for broker-dealers for over 30 years, but for
2 0 of those 30 years, she was a secretary. Has D. Vious violated any securities laws?

A) No. Technically, Ms. D. Vious does have over 30 years of experience in the industry, even though it was not in the capacity of an agent or a broker-dealer.
B) Yes. The broker-dealer is making a misleading statement in an advertising brochure in order to convince investors to do business with the firm.
C) No. Advertising brochures are not securities.
D) No. Ms. D. Vious' years of experience is not a material fact that would affect an investor's investment decision.

Solutions: