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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. According to the NASAA Model Rules, a broker-dealer is not permitted to allow a customer to engage in
margin transactions unless

A) the broker-dealer receives a margin agreement signed by the client promptly after the client's first
margin transaction.
B) the client has a net worth of at least $500,000.
C) the client has been a customer of the firm for at least 6 months.
D) the broker-dealer already has a margin agreement signed by the client in hand.

2. Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on
abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to
be overpriced based on its yield and buying a bond that is identical in almost every respect except for the
price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time
when he does this. Rich Quick

A) is trading on insider information, which is a violation of securities laws.
B) is skilled if he is able to earn profits 95% of the time using this strategy.
C) is in violation of securities laws. Arbitrage is a prohibited activity.
D) engaged in a fraudulent activity.

3. 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) 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.
C) committed fraud in indicating that bonds are less risky than stocks.
D) advised Jack and Jill well with a conservative allocation of their money to preserve principal.

4. 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 IV
B) I, II, and III
C) I, III, and IV
D) I, II, III, and IV

5. An investment adviser suggests that his client, Arnold, a 74-year old gentleman, should consider a
reallocation of the assets in his portfolio. The adviser tells Arnold that he has far too much invested in
bonds, which don't earn as much as stocks. He advises Arnold to take 80% of the money he has in bonds
and invest it in an aggressive growth mutual fund that has provided an average annual return of 40% over
the past three years. Arnold is impressed and follows this advice. Shortly thereafter, there is a steep drop
in the market in general, and the net asset value of the aggressive growth mutual fund falls 85%. Does
Arnold have any remedies available to him?

A) No. The investment adviser had no way of knowing that the market was going to fall when he provided
the advice, so the adviser did not fail in his fiduciary responsibility to Arnold.
B) Yes. Arnold can sue for the amount of his losses, plus interest, as well as an amount assessed by the
court for "pain and suffering."
C) Yes. Arnold can sue for the amount of his losses, plus interest, court costs, and attorneys' fees.
D) No. Arnold had the choice and got greedy. As the old saying goes, "Bulls get rich, and bears get rich,
but pigs get led to slaughter."

Solutions: