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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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) No. The firm's phones are manned 24/7, so it hasn't lied.
B) No. It's not a violation of any securities laws, but the firm probably won't retain many clients this way.
C) Yes. The Uniform Securities Act prohibits investment advisers from making deceptive statements in the
solicitation of clients as well as in advising clients.
D) 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.

2. Ms. Ding is an administrative assistant to the manager of a mutual fund. Most of her day is spent entering
data onto a spreadsheet for her boss and answering phone calls. Some of the calls require her to provide
information about the some of the fund's financial aspects, such as its closing net asset value on the
previous day. What type of registration does Ms. Ding require in order to perform her duties?

A) Ms. Ding needs to apply for registration as an investment adviser representative since she is providing
information about a specific mutual fund.
B) Ms. Ding needs to apply for registration as an agent since she is providing financial information.
C) Ms. Ding will need to apply for registration as both an agent and an investment adviser representative
in this case since she is providing information about a mutual fund.
D) Ms. Ding does not need to apply for any type of registration. She is merely supplying information and is
not engaged in the purchase or sale of the fund shares.

3. Which of the following constitutes a non-punitive order?

A) summary license suspension
B) All of the above are punitive orders.
C) registration denial
D) registration cancellation

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

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

5. Which of the following does not describe a prohibited practice for broker-dealers under the NASAA Model
Rules?
I. SecureMoney Broker-Dealers has received a request from a client who wants SecureMoney to "identify
a few solid firms in the Asian market and invest up to $20,000 in them." SecureMoney executes the
purchases and receives the requisite signed discretionary authorization from the client before the
settlement date.
II. CanDo Broker-Dealers executes a margin transaction for a client, promptly receiving a signed, written
margin agreement from the client after the transaction takes place.
III. GetErDone Broker-Dealers receives a call from a client who wants to purchase some securities on
margin. GetErDone has the client come into the office to sign a properly executed margin agreement prior
to effecting the transaction.

A) III only
B) I and III only
C) II and III only
D) None of the selections are prohibited practices.

Solutions: