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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the order ticket will be

A) Thursday, September 23rd.
B) Tuesday, September 28th.
C) Monday, September 27th.
D) Friday, September 24th.

2. Your client calls you with a market order to purchase 500 shares of the stock of Oracle and asks when payment will be due. If today is Wednesday, September 15th, you inform the client that payment is due on

A) Thursday, September 16th.
B) Monday, September 20th.
C) Friday, September 17th.
D) Saturday, September 18th.

3. Which of the following would meet the requirements for an "exempt security?"

A) a $25,000 promissory note that matures in three months
B) a $500,000 promissory note that matures in two years
C) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by Standard and Poors
D) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by Standard and Poors

4. Which of the following does not describe a prohibited activity by investment advisers and their representatives, according to NASAA Model Rules?

A) The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the broker-dealer that allows LaGree to perform some fundamental and technical analysis.
B) A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest. Simon tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but after that the client needs to pay only 5% of the total value of the assets under management each quarter.
C) A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to invest. Simon recommends she invest half of it in an international growth mutual fund and half in a variable annuity.
D) All of the above describe prohibited practices.

5. 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."

Solutions: