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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. uestion No: 124
Jack and Jill are a newly married couple in their mid-20s. They are determined to retire by the time they are 50 and have arranged a meeting with a representative of Professional Investment Advisers to structure a financial plan that will allow them to achieve this goal.
The representative, Mr. Hill, advises them to invest at least 60% of their money in bond funds to minimize the risk of loss on the way to their goal. Mr. Hill has

A) made an unsuitable recommendation for these clients and is subject to license suspension or revocation.
B) committed fraud in indicating that bonds are less risky than stocks.
C) has committed fraud in promoting their delusion that they can possibly expect to retire by the time they turn 50, regardless of their investment strategy.
D) advised Jack and Jill well with a conservative allocation of their money to preserve principal.

2. Which of the following statements regarding the registration of broker-dealers and investment advisers is true?

A) Both investment advisers and broker-dealers must be registered with the SEC and with the states in which they have offices.
B) Investment advisers are required either to be registered with a state or with the SEC, while broker-dealers must be registered both with the SEC and the state.
C) Investment advisers must always be registered with the SEC to conduct business; broker-dealers may be registered with either an individual state or the SEC or both.
D) Investment advisers are required to register with both the state and the SEC, while broker-dealers may be registered with only one or the other.

3. Which of the following is not a security, as defined by the Uniform Securities Act?
I. an option contract
II. a futures contract on gold
III. a 401K plan
IV. a variable annuity

A) None of the selections listed are securities.
B) Selections II, III and IV are not securities.
C) Only Selections II and III are not securities.
D) Only Selection III is not a security.

4. Nancy's Aunt Ethel died, making Nancy executrix of her estate. In going through Aunt Ethel's belongings, Nancy discovered some stock certificates that she learned had been issued by a small New Jersey firm that was still in business. The problem lay in the fact that Nancy's Aunt Ethel had moved from New Jersey to Florida years ago, and the stock is registered only in the state of New Jersey. Nancy herself is a resident of Massachusetts.
What does Nancy have to do in order to sell this stock?

A) Nancy will have to establish a mailing address in New Jersey before she can legally sell this stock.
B) Nancy can sell the stock without a problem as executrix of her aunt's estate.
C) Nancy will need to contact a broker-dealer licensed in the state of New Jersey to help her with the sale of this stock.
D) Nancy will need to contact a securities law firm in Florida to help her register the stock in the state of Florida.

5. An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees

A) I only
B) I or II only
C) I or III only
D) I, II or III

Solutions: