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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public.
In this scenario, which party is the broker?

A) BigFee Investment Bankers
B) GetErDone Broker-Dealers
C) HiGrowth Corporation
D) Mr. Bigwig

2. In which of the following instances is it permissible for an investment adviser to borrow money from a client?

A) The investment adviser may borrow money from a client if the client is a bank.
B) The investment adviser may borrow money from a client if the client is a close friend of the majority owner of the investment advisory firm.
C) It is never permissible for an investment adviser to borrow money from a client.
D) The investment adviser may borrow money in either of the scenarios described in B or C.

3. Which of the following does not necessarily have to be included in the contract between an investment adviser and an individual client, according to the Uniform Securities Act (USA)?

A) the compensation agreement, which cannot be a percentage of the capital gains or capital appreciation earned on the portfolio for all but the wealthiest of individual clients.
B) a statement stipulating that the contract cannot be assigned to another party without the client's consent
C) if there is any change in the partners within a reasonable time perioda statement of the investment policy that has been agreed upon between the adviser and the client
D) if the investment adviser is a partnership, a statement indicating that the client will be notified

4. MoeMoney Investment Advisers uses the services of two broker-dealers exclusively when it executes trades for its clients' accounts. The larger of the two broker-dealers provides MoeMoney with research from its analyst department in return for the business and also serves as the custodian for some of MoeMoney's clients' accounts. The smaller of the two broker-dealers picks up the utility bill for MoeMoney. MoeMoney is careful to disclose this form of "soft dollar" compensation to its clients.
Is it in violation of any securities laws?

A) Yes. Although investment advisers are permitted to receive some forms of soft dollar compensation from broker-dealers with which it has a relationship, such as research or custodial services, other forms of soft dollar compensation, including the payment of overhead expenses,are prohibited.
B) Yes. Investment advisers are required to use more than two broker-dealers when executing trades on its clients' accounts.
C) No. Investment advisers are entitled to receive soft dollar compensation from broker-dealers with which it has a relationship as long as they disclose this to their clients.
D) Yes. Investment advisers are prohibited from receiving any soft dollar compensation whatsoever.

5. Nat Smart was employed as an investment adviser representative and sold many of his clients on a municipal bond fund of which he was fond, telling his clients that the returns earned on it were completely free from federal taxation. Unfortunately, he had some unhappy clients when, at the end of the year, they discovered that they had to pay federal tax on the capital gains earned by the fund when it sold some of the bonds it held. Nat was as surprised as they were.
Based on these facts, which of the following statements is necessarily true?
I. Because Nat was as surprised as they were, he is guiltless.
II. Nat is subject to civil liability payments.
III. Nat will be subject to the criminal penalties for fraud and may spend time in prison.

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

Solutions: