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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. uestion No: 124
Jack and Jill are a newly married couple in their mid-20s. They are determined to retire by the time they are 50 and have arranged a meeting with a representative of Professional Investment Advisers to structure a financial plan that will allow them to achieve this goal.
The representative, Mr. Hill, advises them to invest at least 60% of their money in bond funds to minimize the risk of loss on the way to their goal. Mr. Hill has

A) made an unsuitable recommendation for these clients and is subject to license suspension or revocation.
B) advised Jack and Jill well with a conservative allocation of their money to preserve principal.
C) committed fraud in indicating that bonds are less risky than stocks.
D) has committed fraud in promoting their delusion that they can possibly expect to retire by the time they turn 50, regardless of their investment strategy.

2. 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) 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
B) if the investment adviser is a partnership, a statement indicating that the client will be notified
C) 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.
D) a statement stipulating that the contract cannot be assigned to another party without the client's consent

3. Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the holder the right to buy 5 shares of Layered's common stock at a price stipulated on the warrant.
In this instance, Layered must file to register which of the following securities with the state?
I. the bonds
II. the warrants
III. the common stock

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

4. The Turnover Corporation, a firm with 25,000 employees, has recently hired 50 new employees, many of whom have been hired to replace middle-level managers who have retired. Turnover has omitted this fact from its prospectus. Turnover is guilty of

A) misusing insider information.
B) fraud.
C) nothing. The hiring of 50 new employees by a firm with 25,000 employees is not a material fact.
D) misrepresentation.

5. Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC must now
I. file a new U-5 form with the Administrator.
II. meet higher net capital requirements than before.
III. file an updated Form ADV with the Administrator.
IV. pay a CPA to do an annual unannounced audit of the firm.

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

Solutions: