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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Julia Hasty has recently applied with the Administrator to be a registered investment adviser in the state. Eager to open her new business, she has business cards printed that indicate that she is a "state-registered" investment adviser and visits some local businesses, asking them for permission to put some of her cards in their waiting rooms.
Has Julia violated any of the provisions of the Uniform Securities Act by distributing her business cards?

A) No. The provisions of the Uniform Securities Act relate to securities, not people.
B) No. Julia has merely put her business cards in waiting rooms. She has not opened her business to clients yet.
C) No. As long as her application has been submitted and is pending acceptance, Julia has not violated any provisions of the Uniform Securities Act.
D) Yes. Julia is not permitted to advertise as a "state-registered" investment adviser until she receives notification of the acceptance of her application by the state Administrator.

2. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public.
In this scenario, which party is the broker?

A) Mr. Bigwig
B) HiGrowth Corporation
C) GetErDone Broker-Dealers
D) BigFee Investment Bankers

3. In which of the following cases is an investment adviser allowed to be compensated with a share of the capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.

A) I and II only
B) I, II, and III only
C) none of the above. An investment adviser is never allowed to share in the capital gains earned on
D) I, II, and IV only

4. Ken Con is an agent with Blue Sky Broker-Dealers. He gets up early each morning so that he can study any late-breaking news that may affect the markets and figure out ways to incorporate this news into conversations with select clients in order to pressure them to restructure their portfolios by selling holdings they have in one particular industry to invest the money in another particular industry.
Ken has been very successful with this strategy and executes more trades for his clients than any other agent with the firm, but is he in danger of losing his license?

A) No. Ken is just a successful sales person who is working harder than the other agents in the firm.
B) Yes. Ken is engaging in churning, a prohibited practice and can have his license revoked or suspended.
C) It depends. If his clients have lost money, Ken may lose his license; but if a review indicates that his clients' accounts earn profits, then his license is safe.
D) Yes. Ken is guilty of the prohibited practice of "tailgating."

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

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

Solutions: