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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. An investment adviser or its representative may

A) exercise discretionary power in the purchase or sale of securities for a client's account as long as.
B) exercise discretionary power in the purchase or sale of securities for a client's account as long as it receives written discretionary authority over the account within 10 business days of the first discretionary transaction placed, assuming oral authority has already been given.
C) only exercise any discretionary power in the purchase or sale of securities for a client's account after receiving written authority prior to the execution of the transactions.
D) exercise discretionary power in the purchase or sale of securities for a client's account only after.

2. 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) Both A and B are true.
B) 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.
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) 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.

3. The C&S Railroad is in the process of issuing new bonds. Before these bonds can be offered for sale,

A) None of the above statements is true.
B) they must be registered with the SEC and in each state through which the railroad passes.
C) they must be registered in every state in which the bonds will be sold to investors.
D) they must be registered with the SEC since railroads are involved in interstate commerce.

4. In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy" without disclosing the fact that it owns the stock.
B) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy," disclosing the fact that it owns the stock
C) all of the above. It is considered criminal fraud for an investment adviser to make any recommendations on a security in which it has or plans to have a position.
D) An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock as a "buy."

5. You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had his license revoked. In this instance,

A) you are no longer a licensed agent with the state and must reapply for a license in order to work for another broker-dealer.
B) the state Administrator will assign you and any other affected agents to work for other broker-dealers registered with the state.
C) you must wait until the broker-dealer's day in court before you can work in the securities industry again because the Administrator will want to be certain that you knew nothing of it.
D) you can simply find another broker-dealer to hire you and have your license transferred to him.

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