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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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) have the words "Senior-Citizen Investment Specialists" printed on their business cards.
C) represent themselves as certified senior citizen investment advisers.
D) do none of the above.

2. The C&S Railroad is in the process of issuing new bonds. Before these bonds can be offered for sale,

A) they must be registered in every state in which the bonds will be sold to investors.
B) they must be registered with the SEC and in each state through which the railroad passes.
C) None of the above statements is true.
D) they must be registered with the SEC since railroads are involved in interstate commerce.

3. Which of the following does not describe a prohibited activity by investment advisers and their
representatives, according to NASAA Model Rules?

A) A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to
invest. Simon recommends she invest half of it in an international growth mutual fund and half in a
variable annuity.
B) The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney
Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the
broker-dealer that allows LaGree to perform some fundamental and technical analysis.
C) A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest.Simon
tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but
after that the client needs to pay only 5% of the total value of the assets under management each quarter.
D) All of the above describe prohibited practices.

4. A "notice filing" refers to

A) the filing by a federal covered investment adviser of forms already filed with the SEC along with a
consent to service of process with the state Administrator.
B) a document that the issuer must file with the SEC informing the SEC that the firm has applied to the
state for registration of its new security.
C) the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a
registration application with the state Administrator.
D) notification to the public by the issuer or its underwriters that the issue is being sold on an "all or
nothing" basis.

5. A "market not held" order is

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

Solutions: