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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would meet the requirements for an "exempt security?"

A) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by Standard and Poors
B) a $500,000 promissory note that matures in two years
C) a $25,000 promissory note that matures in three months
D) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by Standard and Poors

2. Which of the following may an investment adviser not use in an attempt to solicit new clients?

A) testimonials of satisfied clients
B) a complete list of the stocks they have recommended in the past year, even if a statement is included that states that past performance is no guarantee of future performance
C) a free initial consultation, with no obligation on the part of the potential client
D) a free financial planning kit, with no obligation on the part of the potential client

3. As an agent, which of the following statements about the Securities Investor Protection Corporation (SIPC) can you legitimately make to your client?

A) "The SIPC was established to restore funds to investors when the brokerage firm they have been using is bankrupt or in financial distress."
B) The SIPC is the FDIC of the stock and bond markets."
C) "The SIPC is a government agency created by an Act of Congress to combat fraud."
D) "The SIPC is a government agency that was created by an Act of Congress to protect investors against losses in the stock and bond market."

4. Stu Pede is an agent with broker-dealer Cavalier. A customer calls with a request to establish a classic IRA and asks for Stu's advice regarding where the money in the IRA should be invested. Stu suggests a municipal bond fund, explaining to his client that the interest income earned on it will be tax-free at the federal level, and some of it may even be tax-free at the state and local levels.
Has Stu engaged in any prohibited practices?

A) No. Although municipal bonds are not suitable investments for a classic IRA, Stu obviously didn't know this and is merely guilty of stupidity.
B) Yes. Municipal bonds are not suitable investments for a classic IRA, and Stu can have his license revoked or suspended.
C) Yes. Stu is an agent with a broker-dealer. He is not an investment adviser representative and is not allowed to make recommendations regarding investments to the firm's clients.
D) No. Although Stu has given investment advice, it was solicited by the client, and Stu received no additional compensation for the advice.

5. It has come to the attention of the Administrator of the state that Samuel Shyster provided false information on his application to become a registered investment adviser with the state. Prior to revoking Samuel's license, the Administrator will provide Samuel with which of the following?
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences

A) I, II, and III
B) I, II, III, and IV
C) I, III, and IV
D) I, II, and IV

Solutions: