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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) committed fraud in indicating that bonds are less risky than stocks.
B) advised Jack and Jill well with a conservative allocation of their money to preserve principal.
C) made an unsuitable recommendation for these clients and is subject to license suspension or revocation.
D) 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.

2. Noah Aull is an investment adviser representative with Canto Investment Advisers. A client has called and told Noah that he heard about a firm that had recently completed an IPO at a party he had attended that weekend and instructed Noah to purchase shares of the company, which was now trading on the OTC Bulletin Board. Noah did some research and felt the company was far too risky an investment for this client, so he did not execute the trade. This turned out to be fortunate for his client since the firm became insolvent within six months of its IPO.
Has Noah done anything wrong?

A) No. Noah did what he is hired to do-manage his clients' accounts to the best of his ability.
B) Yes. Noah is guilty of not following a client's instructions and could have his license revoked.
C) Yes. Noah is guilty of making an unauthorized transaction and could have his license revoked.
D) Yes. Noah is guilty of misappropriation and could have his license revoked.

3. Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer with an office just across the state line.
Don can enter a commission-splitting agreement with

A) Huey only
B) Either Huey, Dewey, or Louie or any combination of the three
C) either Huey or Dewey or both
D) Dewey only

4. Constance is an investment adviser representative. She told one of her clients that he should put at least 15% of his investment monies in a U.S. government bond mutual fund.
She explained that she believed that he required this percentage to meet his liquidity needs, and U.S.
government bond funds are risk-free. A few months later, the client needed to sell some of his fund shares in order to pay some medical bills and was surprised to discover that he lost money on the sale because the net asset value of the fund had dropped.
Was Constance guilty of any securities violations?

A) Yes. Constance should never recommend that a client invest such a high percentage of his investment monies in a U.S. government bond mutual fund.
B) Yes. Constance is guilty of fraud. She misled the client into thinking he couldn't lose any money if he invested the money in a U.S. government bond mutual fund.
C) No. U.S. government bonds are often referred to as risk-free investments, so Constance made no misstatement of fact in telling her client this.
D) It depends. If Constance realized that the client could lose money in a U.S. government bond fund, then she is guilty of fraud, but if she did not herself realize that, then she is merely misinformed.

5. You have passed the necessary exams (congratulations!) and are applying for registration as a securities agent.
It is already the end of September. Therefore, you must pay

A) the full annual fee, and your license will expire on September 30th next year.
B) the full annual fee, and your license will expire on December 31st this year.
C) one-fourth of the annual fee required since only one quarter of the year remains.
D) the full annual fee, and your license will expire on December 31st next year.

Solutions: