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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk, is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own knowledge.
Based on these facts, which of the following statements is true?

A) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice, and Erin must register as an investment adviser representative as the firm's employee.
B) Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the facts provided.
C) Erin must register as an investment adviser since she is providing investment advice.
D) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice.

2. Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail from Mr. Wolf regarding her performance as his agent.
What are Ms. Swyne's legitimate options?

A) As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and make it all go away.
B) Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.
C) Ms. Swyne must forward the complaint to the state Administrator.
D) Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to revoke the complaint.

3. Fly-By-Night Investment Advisers has closed its doors.
Which of the following statements is true?

A) Fly-By-Night must preserve and maintain all records, including client transactions and communications, advertising materials, and financial statements of the now-defunct business for five years.
B) Fly-By-Night must send all records of client transactions and communications to the state Administrator for safekeeping.
C) Fly-By-Night is required to shred all documentation of client transactions and communications.
D) Fly-By-Night must send each of its former clients its records of all that client's transactions and communications with the firm over the past five years.

4. Which of the following describes an investment adviser that is not required to register with the state Administrator?

A) CanDo Broker-Dealers is a state-registered broker-dealer. It has begun to offer asset management services to a few of its wealthier clients for a small management fee equal to 0.1% of the assets under management.
B) Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy individuals who are residents of the state.
C) Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services to an insurance company located in the state.
D) MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.

5. You are a registered agent with a broker-dealer. One of your clients visits you and wants you to sell some of the U.S. government bonds she owns and purchase shares of a specific aggressive growth mutual fund for her with the proceeds. Your client is a mentally-competent, 84-year-old woman but, based on your other knowledge of her situation, you believe it to be an unwise move. You should

A) advise her that you don't believe this is in her best interest, but execute the required transactions if she insists.
B) nod politely, but not execute the transactions since they are not in her best interest.
C) turn the matter over to your supervisor.
D) call the mutual fund and tell them that they must convince this client that an investment in their fund is not in her best interest, under penalty of law.

Solutions: