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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following is not a method that can be used to register securities with the state?

A) registration by exception
B) registration by coordination
C) registration by notification
D) registration by qualification

2. You are an investment adviser to Mr. Crochety, an elderly man who lives solely on his social security income although he managed to accumulate an investment portfolio worth about $100,000 over the years. Mr.
Crochety recently got his hands on a business publication and read about the tax-free interest paid by municipal bonds. He calls you and instructs you to sell his other investments and invest all his money in a municipal bond portfolio, so that "the government doesn't get any more of my hard-earned money." You tell Mr. Crochety that you don't believe this is a wise move because he's in such a low tax bracket that municipal bonds are not a good investment for him, but he is insistent. Based on these facts, you should

A) have Mr. Crochety sign a statement of investment policy that indicates that this transaction is being executed on the client's instructions and that you have advised the client against it.
B) call Mr. Crochety's relatives and suggest they have him examined for mental instability.
C) require Mr. Crochety to sign an affidavit of liability waiver, indicating that you will not be held responsible for any adverse consequences of this decision.
D) ignore Mr. Crochety's instruction since it is not in his best interest.

3. 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 has not violated any laws or engaged in any prohibited practices.
B) 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.
C) 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.
D) Finn has violated a securities law. The Uniform Securities Act prohibits anyone from using the word
"certified" on any advertisement for services.

4. Which of the following compensation arrangements between an investment adviser and an individual client with a net worth of $600,000 would be disallowed?

A) The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each quarter.
B) The investment adviser will receive 0.1% of the total value of the client's assets under management as of the end of each month.
C) All of the above are legitimate compensation arrangements between and investment adviser and an individual client with a net worth of $600,000.
D) The client agrees to pay the investment adviser an hourly fee of $60.00.

5. In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy," disclosing the fact that it owns the stock
B) An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock as a "buy."
C) all of the above. It is considered criminal fraud for an investment adviser to make any recommendations on a security in which it has or plans to have a position.
D) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy" without disclosing the fact that it owns the stock.

Solutions: