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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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) Yes. Arnold can sue for the amount of his losses, plus interest, court costs, and attorneys' fees.
B) 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.
C) 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."
D) 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."

2. Bootstraps, Inc. is a family-owned business that has experienced enormous growth in the last couple of
years. The business needs more cash to support this growth and has decided to issue some promissory
notes, each with a face value of $5,000, for sale to the general public. The firm plans to hire three
individuals to help them sell these notes. These individuals will earn a commission based on the notes
they sell. Given these facts, which of the following is true?

A) The notes must be registered with the state, and the three individuals hired to sell the notes must be
registered as agents with the state.
B) The notes must be registered with the state, but the individuals hired to sell them are not required to be
registered.
C) Neither the notes nor the individuals selling the notes need to be registered with the state.
D) Either the firm must register the notes with the state, or the individuals that are hired to sell the notes
must be registered as agents with the state, but not both.

3. Desi Genuos is an agent with Broker-Dealer CanDo. A client has asked Desi to recommend a mutual fund
that does not have a sales charge. Desi recommends a fund that has no front-
end load although it does have a deferred sales load if the investor redeems his shares within the first
three years of ownership, but the client has informed Desi that he is looking at this as a long-term
investment. Based on these facts, Desi

A) is not in violation of any rules because he is an agent of a broker-dealer and is not affiliated with the
fund he has recommended in any manner.
B) is in violation of NASAA rules regarding investment company shares.
C) is not in violation of any rules since the fund has no front-end load and the deferred sales load will not
apply to this client, given his indication that this is meant to be a long-term investment.
D) will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."

4. Barring no irregularities (such as a license revocation by another state last year), after you have filed for
registration as an agent, your license will be granted within

A) 30 days.
B) 10 business days.
C) 45 days.
D) 14 business days.

5. A "notice filing" refers to

A) a document that the issuer must file with the SEC informing the SEC that the firm has applied to the
state for registration of its new security.
B) the filing by a federal covered investment adviser of forms already filed with the SEC along with a
consent to service of process with the state Administrator.
C) the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a
registration application with the state Administrator.
D) notification to the public by the issuer or its underwriters that the issue is being sold on an "all or
nothing" basis.

Solutions: