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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Julia Hasty has recently applied with the Administrator to be a registered investment adviser in the state.
Eager to open her new business, she has business cards printed that indicate that she is a
"state-registered" investment adviser and visits some local businesses, asking them for permission to put
some of her cards in their waiting rooms. Has Julia violated any of the provisions of the Uniform Securities
Act by distributing her business cards?

A) Yes. Julia is not permitted to advertise as a "state-registered" investment adviser until she receives
notification of the acceptance of her application by the state Administrator.
B) No. As long as her application has been submitted and is pending acceptance, Julia has not violated
any provisions of the Uniform Securities Act.
C) No. The provisions of the Uniform Securities Act relate to securities, not people.
D) No. Julia has merely put her business cards in waiting rooms. She has not opened her business to
clients yet.

2. Which of the following statements best explains the difference between an agent and a broker-dealer?

A) A broker-dealer must be licensed in the state in which he conducts business, but there are no separate
licensing requirements for agents.
B) Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy
and sell bonds and option contracts.
C) An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he
does not own in return for a commission on the transactions he executes. A broker-dealer may also buy
and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on
those securities.
D) Agents conduct their business exclusively in the secondary market, while broker-dealers also operate
in the primary market.

3. An investment adviser or its representative may

A) exercise discretionary power in the purchase or sale of securities for a client's account only after
B) exercise discretionary power in the purchase or sale of securities for a client's account as long as
C) only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
D) exercise discretionary power in the purchase or sale of securities for a client's account as long as it
receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.

4. Ms. Ding is an administrative assistant to the manager of a mutual fund. Most of her day is spent entering
data onto a spreadsheet for her boss and answering phone calls. Some of the calls require her to provide
information about the some of the fund's financial aspects, such as its closing net asset value on the
previous day. What type of registration does Ms. Ding require in order to perform her duties?

A) Ms. Ding does not need to apply for any type of registration. She is merely supplying information and is
not engaged in the purchase or sale of the fund shares.
B) Ms. Ding will need to apply for registration as both an agent and an investment adviser representative
in this case since she is providing information about a mutual fund.
C) Ms. Ding needs to apply for registration as an agent since she is providing financial information.
D) Ms. Ding needs to apply for registration as an investment adviser representative since she is providing
information about a specific mutual fund.

5. You are an investment adviser representative. Your client, Mr. I. M. Pulse, calls you with what he thinks is
exciting news. He just passed a restaurant and saw Microsoft's Bill Gates having lunch with a local
entrepreneur who owns a small firm in the computer software industry that trades on the OTC pink sheets.
He is sure that this means Microsoft is negotiating a purchase of the smaller company and instructs you to
take the cash balance in his account and buy shares of the local company. You should

A) call your supervisor and alert him immediately of Mr. Pulse's attempt to have you place an illegal order
on his behalf in case Mr. Pulse decides to place the order elsewhere.
B) advise Mr. Pulse that he may be jumping the gun, but place the order if he insists.
C) do both A and B.
D) tell Mr. I.M. Pulse that this would be an illegal insider trade and that you are unable to fulfill his request.

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