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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A-2-Z Associates is a full service brokerage and is also in the investment advisory industry, charging its
clients for investment advice for additional remuneration. Which of the following statements is true?

A) A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no
commissions may be collected.
B) A-2-Z can charge an individual client an advisory fee for its advice or a commission when it executes a
trade that the client makes based on that advice, but not both.
C) A-2-Z can charge the client both an advisory fee for its advice and a commission on any trade the client
makes based on the advice. This is all laid out in the advertising brochures full service brokerage firms
like A-2-Z provide their prospective clients.
D) A-2-Z can charge the client both an advisory fee for its advice and a commission for the execution of a
trade based on that advice, but it must inform the client of its potential conflict of interest in doing so and
get the client's written consent.

2. Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license
of a person?

A) The person is a broker-dealer whose agents have repeatedly been accused of churning and burning,
according to written client complaints.
B) The applicant has never before worked in the securities industry although he has received the requisite
training.
C) The person has been convicted of check kiting within the past ten years.
D) Some of the information supplied on the registration application was found to be false.

3. Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the
holder the right to buy 5 shares of Layered's common stock at a price stipulated on the warrant. In this
instance, Layered must file to register which of the following securities with the state?
I. the bonds
II. the warrants
III. the common stock

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

4. The Turnover Corporation, a firm with 25,000 employees, has recently hired 50 new employees, many of
whom have been hired to replace middle-level managers who have retired. Turnover has omitted this fact
from its prospectus. Turnover is guilty of

A) fraud.
B) nothing. The hiring of 50 new employees by a firm with 25,000 employees is not a material fact.
C) misrepresentation.
D) misusing insider information.

5. You are an investment adviser to Mr. Crochety, an elderly man who lives solely on his social security
income although he managed to accumulate an investment portfolio worth about $100,000 over the years.
Mr. Crochety recently got his hands on a business publication and read about the tax-free interest paid by
municipal bonds. He calls you and instructs you to sell his other investments and invest all his money in a
municipal bond portfolio, so that "the government doesn't get any more of my hard-earned money." You
tell Mr. Crochety that you don't believe this is a wise move because he's in such a low tax bracket that
municipal bonds are not a good investment for him, but he is insistent. Based on these facts, you should

A) ignore Mr. Crochety's instruction since it is not in his best interest.
B) call Mr. Crochety's relatives and suggest they have him examined for mental instability.
C) have Mr. Crochety sign a statement of investment policy that indicates that this transaction is being executed on the client's instructions and that you have advised the client against it.
D) require Mr. Crochety to sign an affidavit of liability waiver, indicating that you will not be held responsible for any adverse consequences of this decision.

Solutions: