Only need to practice for 20 to 30 hours

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. An agent working for a broker-dealer mistakenly sends an investment adviser some bonds that the
adviser purchased on behalf of his client instead of directing the bonds to the financial institution that is
serving as the qualified custodian of the client's funds. If the investment adviser wants to avoid being
considered custodian of this client's account, what must the adviser do?

A) Record what securities were sent, when he received them, and when he forwarded them--which must
be within three business days-to his client.
B) Record what securities were sent, when he received them, and when he forwarded them--which must
be within twenty-four hours-to the qualified custodian of the client's funds.
C) Record what securities were sent, when he received them, and when he forwarded them--which
D) Record what securities were sent, when he received them, and when he forwarded them--which must
be within twenty-four hours-to his client.

2. Price pegging refers to

A) the prohibited practice of excessively trading on a client's account that is used by some broker-dealers
and/or their agents to generate more commissions for themselves.
B) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they
own themselves without disclosing the fact.
C) the practice of buying large amounts of a security to drive its price up artificially.
D) the illegal activity of a group of investors who buy and sell a security among themselves to create an
artificially high volume of trading in hopes of luring investors to buy the security.

3. Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a
job as a receptionist at a fitness club on the weekends to generate more income. Which of the following is
true?

A) Mina should have notified SecureMoney in writing before signing on to work at the fitness club.
B) Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has
done nothing inappropriate.
C) Mina needs to send notice to the state Administrator informing him of her extracurricular activity.
D) Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.

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

A) All of the above describe prohibited practices.
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 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.
D) 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.

5. Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to
a client who is purchasing a security?

A) a hypothecation agreement
B) a preliminary prospectus
C) a margin agreement if the purchase is being made on margin
D) a final prospectus

Solutions: