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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Assuming there is not a stop order or a proceeding pending, under the registration by coordination
process a security's registration with the state becomes effective:

A) only when it is approved by the state Administrator, regardless of whether it has been approved by the
SEC.
B) immediately subsequent to approval by the SEC, regardless of how long the registration statement has
been on file.
C) immediately after approval by the SEC as long as the registration statement has been on file for at least
2 0 days or the Uniform Securities Act has provided an exemption to this waiting period.
D) only when it is approved by the state Administrator, who will review the registration documentation
upon notification that SEC approval has been granted.

2. An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees

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

3. Which of the following trades is illegal?

A) a short sale
B) a margin transaction
C) a market-not-held order
D) the sale of a mutual fund if the purchaser hasn't received a prospectus

4. In which of the following scenarios is an investment adviser representative required to disclose the fact
that someone other than the representative performed the research on which his advice to the client is
based?
I. The investment adviser representative recommends the same asset allocation for his client that a buddy
of his did after his buddy had done some research for a client with similar characteristics.
II. The investment adviser representative provides a recommendation for his client based on research
provided by a broker-dealer that provides the investment adviser with its analysts' recommendations in
return for trades that the investment adviser executes using the services of the broker-dealer, as well as a
couple of other research sources he finds on the internet.
III. The investment adviser representative submitted his client's information to a data base that provided a
recommendation for the asset allocation of the client's investment monies that the adviser deemed was
sound and, therefore, recommended it to his client.

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

5. Stu Pede is an agent with broker-dealer Cavalier. A customer calls with a request to establish a classic
IRA and asks for Stu's advice regarding where the money in the IRA should be invested. Stu suggests a
municipal bond fund, explaining to his client that the interest income earned on it will be tax-free at the
federal level, and some of it may even be tax-free at the state and local levels. Has Stu engaged in any
prohibited practices?

A) Yes. Stu is an agent with a broker-dealer. He is not an investment adviser representative and is not
allowed to make recommendations regarding investments to the firm's clients.
B) No. Although municipal bonds are not suitable investments for a classic IRA, Stu obviously didn't know
this and is merely guilty of stupidity.
C) No. Although Stu has given investment advice, it was solicited by the client, and Stu received no
additional compensation for the advice.
D) Yes. Municipal bonds are not suitable investments for a classic IRA, and Stu can have his license
revoked or suspended.

Solutions: