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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.

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

2. Which of the following may an investment adviser not use in an attempt to solicit new clients?

A) testimonials of satisfied clients
B) a free financial planning kit, with no obligation on the part of the potential client
C) a complete list of the stocks they have recommended in the past year, even if a statement is included that states that past performance is no guarantee of future performance
D) a free initial consultation, with no obligation on the part of the potential client

3. 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) 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.
B) Yes. Municipal bonds are not suitable investments for a classic IRA, and Stu can have his license revoked or suspended.
C) No. Although Stu has given investment advice, it was solicited by the client, and Stu received no additional compensation for the advice.
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.

4. 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 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.
B) A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no commissions may be collected.
C) 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.
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.

5. No: 167
A "market not held" order is

A) an order to sell securities that the investor owns if the stock decreases by a certain amount from the current price.
B) an order in which the client tells the broker to use his own discretion in timing a purchase or sale in an attempt to get a better price.
C) a prohibited activity in which an agent engages in the purchase or sale of securities that are not offered by his broker-dealer.
D) an order to buy or sell a stock at a specified price, which differs from the current market price.

Solutions: