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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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 Stu has given investment advice, it was solicited by the client, and Stu received no
additional compensation for the advice.
C) Yes. Municipal bonds are not suitable investments for a classic IRA, and Stu can have his license
revoked or suspended.
D) No. Although municipal bonds are not suitable investments for a classic IRA, Stu obviously didn't know
this and is merely guilty of stupidity.

2. Which of the following does not describe a prohibited activity by investment advisers and their
representatives, according to NASAA Model Rules?

A) A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest.Simon
tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but
after that the client needs to pay only 5% of the total value of the assets under management each quarter.
B) The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney
Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the
broker-dealer that allows LaGree to perform some fundamental and technical analysis.
C) A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to
invest. Simon recommends she invest half of it in an international growth mutual fund and half in a
variable annuity.
D) All of the above describe prohibited practices.

3. Registered agent Ina Scent has had her license suspended by the state Administrator prior to an
administrative hearing on the order. Which of the following statements is true regarding Ina's situation?

A) Ina can sue the Administrator because she was not afforded a hearing before the suspension took
place.
B) Ina can make a written request that a hearing on the issue be scheduled within fifteen business days of
her request and may not continue working with clients unless the Administrator vacates the order until
final determination.
C) Ina can immediately file an appeal of the suspension in a court of law.
D) Ina can make a written request that a hearing on the issue be scheduled within ten business days of
her request and may continue working with clients while waiting for her day in court.

4. Which of the following would not appear on a trade confirmation?

A) the client's account number
B) the settlement date
C) All of the above items appear on a trade confirmation.
D) the commission

5. Switch Advisory is a small investment adviser partnership registered in a single state. A larger investment
adviser firm, Bait Investment Adviser, is registered in the same state as well as two other states. Bait has
offered to buy out three of Switch's partners who want to retire. This will give Bait a 60% ownership in
Switch Advisory. Which of the following statements are true?
I. Switch Advisory must obtain the approval of its clients before the partners can sell their interests to Bait.
II. Switch Advisory must notify the state Administrator of this event.
III. Switch Advisory must notify their clients of this event, but does not need the clients' approval.
IV. Switch Advisory must notify the SEC of this event.

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

Solutions: