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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following actions is the Administrator of a state empowered to take?

A) require restitution for the victims of a scam
B) The Administrator of a state has the authority to take all of the above actions.
C) gather evidence
D) impose civil penalties in cases of fraud

2. Which of the following is not a prohibited practice for broker-dealers under the NASAA Model Rules?

A) borrowing money from a client
B) providing a client with a copy of their most recent balance sheet upon request
C) lending money to clients for them to invest
D) charging commissions that are significantly higher than those charged by other broker-dealers

3. AllTime Investment Advisers advertises that its phones are manned 24/7, so that a client "doesn't have to
lie awake all night worrying about a financial problem." In fact, AllTime does have a answering service that
answers calls in the evenings and on the weekends when its offices are closed. The service informs the
caller of the firm's business hours, which will be the earliest opportunity the caller will have to talk to an
investment adviser representative. Is this a violation of any securities laws?

A) Yes. The Uniform Securities Act prohibits investment advisers from making deceptive statements in the
solicitation of clients as well as in advising clients.
B) No. It's not a violation of any securities laws, but the firm probably won't retain many clients this way.
C) It depends. If, before a client signs a contract with the firm, it is made clear that investment adviser
representatives are not, in fact, available to him 24/7, then AllTime is in the clear.
D) No. The firm's phones are manned 24/7, so it hasn't lied.

4. John Ketchum is an investment adviser representative with Load Investment Advisers, which has a family
of load funds that it encourages its representatives to promote. Representatives of the firm that sell
shares in these funds to their clients receive a greater share of the load than they do if they sell load funds
offered by other firms. Based on these facts, which of the following statements is true?

A) If, after reviewing the information form a client has filled out, John believes that one of Load's funds is
an appropriate investment, John can recommend that the client invest in that fund. There is no disclosure
requirement necessary if the recommendation is a sound one that can be proved to be based on the
client's specific situation.
B) John is obligated to try to sell his clients the funds offered by Load first since he is affiliated with them
and has a fiduciary responsibility to them.
C) John must provide his clients with a written disclosure that he will receive a greater remuneration for
selling shares in the Load family of funds than if he sells them shares in other funds before he provides his
clients with any investment advice.
D) Both A and B are true.

5. 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 client agrees to pay the investment adviser an hourly fee of $60.00.
B) All of the above are legitimate compensation arrangements between and investment adviser and an
individual client with a net worth of $600,000.
C) 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.
D) The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each
quarter.

Solutions: