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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following may an investment adviser not use in an attempt to solicit new clients?

A) a free initial consultation, with no obligation on the part of the potential client
B) a complete list of the stocks they have recommended in the past year, even if a statement is included
that states that past performance is no guarantee of future performance
C) testimonials of satisfied clients
D) a free financial planning kit, with no obligation on the part of the potential client

2. Sam Shade had his agent's license revoked by the state of Washington for repeatedly making misleading
claims about various investment to investors. He had had it with all the rain anyway and decided to move
to the sunshine state of Florida. His brother-in-law was a computer whiz who made money on the side
(more than his day job provided, in fact) by supplying illegal immigrants with official-looking
documentation, including social security numbers. Sam Shade became Ian Creed in a few clicks of the
mouse. As Ian Creed, Sam was hired by Sunny Investment Advisers, an investment adviser firm located
in the Florida Keys, in a clerical role. As such, Sam/Ian had access to the confidential information of the
firm's clients, which he and his brother-in-law utilized for the purpose of identity theft. Under the Uniform
Securities Act guidelines, when Sam and his brother-in-law are caught in their illegal activities,

A) Sunny Investment Advisers will be subject to criminal prosecution for employing an individual whose
license had been revoked by the Administrator of another state since it obviously did not use due
diligence in hiring Ian Creed, aka Sam Shade.
B) Sunny Investment Advisers will not be held liable if it can prove that there was no way it could have or
should have known of the revocation of Sam Shade's (aka Ian Creed) license.
C) Sunny Investment Advisers will be subject to civil penalties for employing an individual whose license
had been revoked by the Administrator of another state.
D) Sunny Investment Advisers will be subject to both criminal prosecution and civil penalties for
employing an individual whose license had been revoked by the Administrator of another state since it
obviously did not use due diligence in hiring Ian Creed, aka Sam Shade.

3. Which of the following statements is false?

A) A state cannot require a higher minimum net capital for investment advisers than the amount specified
by the Investment Advisers Act of 1940.
B) A state cannot require a higher minimum net capital for broker-dealers than the amount specified by
the Securities Exchange Act of 1934.
C) The minimum net capital requirement for investment advisers that take custody of their clients' assets
is higher than the net capital requirement for advisers who do not take custody of the assets.
D) None of the above statements is false; all are true statements.

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

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

5. A broker-dealer is required to keep his records for how long?

A) at least seven years
B) A broker-dealer is required to keep his records for as long as he is registered in the state.
C) at least five years
D) at least three years

Solutions: