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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A "notice filing" refers to

A) the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a
registration application with the state Administrator.
B) notification to the public by the issuer or its underwriters that the issue is being sold on an "all or
nothing" basis.
C) 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.
D) 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.

2. 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 Stu has given investment advice, it was solicited by the client, and Stu received no
additional compensation for the advice.
B) 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.
C) Yes. Municipal bonds are not suitable investments for a classic IRA, and Stu can have his license
revoked or suspended.
D) No. Although municipal bonds are not suitable investments for a classic IRA, Stu obviously didn't know
this and is merely guilty of stupidity.

3. Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed
every material fact, how long does the Administrator have after the effective date of the registration to
commence a proceeding to deny, suspend, or revoke that person's license based on those facts?

A) 60 days.
B) one year.
C) 90 days.
D) 30 days.

4. 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. 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."
C) 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.
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."

5. Which of the following persons is required to maintain its records in accordance with state dictates and
meet the minimum net capital requirement imposed by the state?
I. federal covered adviser
II. state-registered investment adviser
III. investment adviser representative

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

Solutions: