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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security
and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had
opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the
purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can

A) refuse to pay CanDo commissions for the purchase.
B) do nothing about it.
C) refuse to pay for the stock on the settlement date.
D) sue CanDo for not getting him the best price of the day-or anything close to it.

2. Elizabeth is the owner of Lizbeth Investment Advisers, a small, state-registered investment advisory firm.
She has decided that her firm needs a niche and has learned that a consulting group is coming to the area
and offering a 3-day seminar on asset allocation for senior citizens offered by Advantage for Retirement
Persons (ARP). The seminar will cost $1,000 per individual, but after attending the seminar, each
attendee will receive a certificate verifying their involvement in the program. Elizabeth decides this is the
niche she has been looking for and signs up herself and her three investment adviser representatives for
the program. After attending the seminar and receiving their certificates, Elizabeth and her team can

A) indicate that they are certified by the ARP program since money was paid for their attendance.
B) do none of the above.
C) represent themselves as certified senior citizen investment advisers.
D) have the words "Senior-Citizen Investment Specialists" printed on their business cards.

3. Which of the following would be an unsuitable recommendation for your 68-year-old client?

A) an S&P 500 Index mutual fund
B) a deferred annuity
C) a high quality corporate bond fund
D) a Treasury Inflation Protected Security (TIPS)

4. Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?

A) a variable annuity contract offered by an insurance company with offices in the state
B) a stock that is listed on the American Stock Exchange
C) a put option on a stock that sells in the over-the-counter market
D) a stock that is listed on the OTC Bulletin Board

5. Which of the following scenarios does not meet the definition of "custody" under NASAA Model Rules?

A) An investment adviser keeps a client's securities in its safety deposit box.
B) An investment adviser receives a check from a client that is written to a mutual fund and forwards the
check to the mutual fund within three business days of receipt.
C) An investment adviser is mistakenly sent a client's securities, but returns them to the sender within
three business days of receipt.
D) An investment adviser has general power of attorney for a client and is authorized to withdraw client
funds or securities that are on deposit with a registered broker-dealer upon the investment adviser's
request.

Solutions: