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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A) An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock
as a "buy."
B) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy" without disclosing the fact that it owns the stock.
C) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy," disclosing the fact that it owns the stock
D) all of the above. It is considered criminal fraud for an investment adviser to make any
recommendations on a security in which it has or plans to have a position.

2. If an issuer registers securities with the state, how long can the documentation supplied in the registration
statement for those securities be incorporated by reference only into a registration statement for future
securities the issuer wants to offer for sale?

A) two years
B) five years
C) one year
D) seven years

3. Which of the following funds can an agent indicate is "no load?"

A) a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund
and a rear-end load that varies depending on how long the investor has held the shares.
B) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets
of the fund.
C) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets
of the fund.
D) Both A and C can be advertised as "no load" funds.

4. Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to
a client who is purchasing a security?

A) a margin agreement if the purchase is being made on margin
B) a final prospectus
C) a preliminary prospectus
D) a hypothecation agreement

5. In accordance with the Telephone Consumer Protection Act of 1991 (TCPA), if a prospective client
requests to be put on your firm's Do-Not-Call (DNC) list, the client must be kept on that list for

A) 2 years.
B) 10 years.
C) 1 year.
D) 5 years.

Solutions: