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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following describes a prohibited practice in the sale of shares of investment companies?
I. Sandy Slacker hands her client the fund's prospectus and tells him that the prospectus will provide him
all that he needs to know about loads and fees associated with the fund.
II. Elliot Eager tells a client who has an investment objective that includes current income that a certain
bond fund has a current yield of 8% and provides the client with a prospectus so that the client can peruse
the average annual returns that the fund has generated in past years when the client has the time.
III. After explaining all the fees and loads involved in two different bond funds as well as the difference
between current yield and total return, Patty shows the client the data on the average annual returns that
the two bond funds provided. She explains to the client that the municipal bond fund has a lower yield
than the similar-risk corporate bond fund because the interest income the client will receive from the
municipal bond fund will be free from federal taxation, while the interest income on the corporate bond
fund is fully taxable.

A) I and II only
B) All the choices describe prohibited practices in the sale of shares of investment companies.
C) I and III only
D) I only

2. 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 Treasury Inflation Protected Security (TIPS)
D) a high quality corporate bond fund

3. Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that
his application to be a registered agent of the state has been accepted. Now that he is licensed to execute
transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on
the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be
violating any securities laws if he distributes these business cards?

A) No. His registration with the Administrator of the state has been accepted, so he is entitled to call
himself a "State-Approved Agent."
B) Yes. It is a violation of a securities law to suggest that he has been approved by the state
Administrator.
C) Yes. Agents are not permitted to include a picture of themselves on their business cards.
D) No. However, he may be violating company policy of the broker-dealer he works for by designing his
own cards.

4. Broker-dealer Small & Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small
& Associates is required to

A) call the client who complained and inform him of the disciplinary action that will be taken against Mr.
Gaunt.
B) keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.
C) provide the client with a written response to the complaint.
D) immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered
agent.

5. A margin transaction refers to a transaction

A) in which the client borrows some of the money that he is investing.
B) Both A and C are true statements.
C) in which a registered agent makes trades on a customer's account without that customer's knowledge.
D) that is illegal under the guidelines of the Uniform Securities Act.

Solutions: