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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In which of the following scenarios is an investment adviser representative required to disclose the fact that someone other than the representative performed the research on which his advice to the client is based?
I. The investment adviser representative recommends the same asset allocation for his client that a buddy of his did after his buddy had done some research for a client with similar characteristics.
II. The investment adviser representative provides a recommendation for his client based on research provided by a broker-dealer that provides the investment adviser with its analysts' recommendations in return for trades that the investment adviser executes using the services of the broker-dealer, as well as a couple of other research sources he finds on the internet.
III. The investment adviser representative submitted his client's information to a data base that provided a recommendation for the asset allocation of the client's investment monies that the adviser deemed was sound and, therefore, recommended it to his client.

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

2. Goldie Locks is an agent with Bear Broker-Dealers. One of her clients is a single woman, Annie Spinster, who is retired and needs income from her investment portfolio to meet her current needs for liquidity. In addition to investing in mutual funds, Annie likes the thrill of investing in single stocks and asks Goldie for recommendations. Goldie recommends Annie invest some of her money in Alcon (ACL), a medical instrument and supplies company selling on the NYSE, based on the fact that it has a high dividend yield and is paying a dividend of $2.21 a share, which is guaranteed to continue or even increase, Goldie assures Annie.
Has Goldie violated any laws or engaged in any prohibited practices?

A) Both A and B are true.
B) Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend will continue or increase.
C) Yes. As the agent of a broker-dealer, Goldie is not permitted to make recommendations for specific investments. Only investment adviser representatives and investment advisers can do that.
D) No. Goldie merely responded to a recommendation request from a client, and the recommendation is suitable since the client has a need for current income and the recommended stock pays a high dividend.

3. Which of the following is an example of a non-issuer transaction?

A) Jose purchases a 10-year bond issued by Progress Energy when it has 6 years remaining to maturity.
B) Google offers more shares of its stock for sale to the public.
C) IBM sells a new issue of bonds to an insurance company.
D) NewCorp, which has been a privately held company, is engaging in an initial public offering (IPO) of its stock.

4. Jack Bean is employed by Giant Investment Advisers, LLC. His job duties include advising clients on the asset allocations of their portfolios. Jack Bean is

A) an investment adviser.
B) an investment adviser representative.
C) an agent.
D) an administrative assistant.

5. Most individual state securities laws today are based on:

A) the Uniform Securities Act of 1956.
B) the Uniform Securities Act of 2002.
C) the Gramm-Leach-Bliley Act of 1999.
D) the National Securities Markets Improvement Act of 1996.

Solutions: