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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Under the Uniform Securities Act, which of the following does not need to be included when filing to register a security issue with the state?

A) All of the above documents must be included when filing to register a security with the state.
B) copies of the underwriter agreements
C) a copy of any indenture applying to the security being registered
D) a copy of the firm's articles of incorporation and bylaws, or the equivalent

2. Cassie Clueless has recommended that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the client will receive the dividends when they are distributed.
In which of the following situations might this recommendation be justifiable and not in violation of NASAA rules?
I. The investor has refused to provide Cassie any information regarding his investment goals.
II. The investor is a young professional with an investment goal of long-term capital appreciation.
III. The investor is a retiree in a low tax bracket and needs current income to augment her social security check.

A) It is always in violation of NASAA rules to recommend that a client purchase shares of a mutual fund prior to its ex-dividend date.
B) I and II only
C) I only
D) III only

3. Big Bo is an investment adviser representative who has a lot of the members of a well-known professional football team as clients. In advertising his services, Big Bo can

A) list the names of the players he's advising as long as he doesn't provide any other specifics, such as the amount each one has invested with him.
B) list the names of the players he's advising as long as he has their written permission to do so.
C) list the names of the players he's advising as long as he lists the names of all his other clients, too.
D) use testimonials from any of the players who willingly provide them without compensation.

4. Which of the following constitutes a non-punitive order?

A) registration cancellation
B) registration denial
C) All of the above are punitive orders.
D) summary license suspension

5. 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 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.
C) will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."
D) is in violation of NASAA rules regarding investment company shares.

Solutions: