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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Joe Treader is the owner of a small, state-registered investment advisory firm that is on the verge of
becoming insolvent. One of his clients who has become like a mother to him is aware of his financial
difficulties and has offered to sell off some of the assets that he manages for her and loan him the money
to get him through this period of economic
uncertainty until he is able to get on his feet again. Can Joe take her up on her offer?

A) Both A and B are true.
B) Yes. Based on the facts presented, it is an unsolicited offer and, as such, Joe can (and should) accept
it.
C) No. As the client's investment adviser, he has a fiduciary relationship with the client. Entering a loan
agreement with this client could lead to conflicts of interest.
D) Yes, but only if Joe draws up a formal loan agreement with a fair interest rate, based on the going
market rates, stated in the agreement as well as a firm date for principal repayment.

2. Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on
abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to
be overpriced based on its yield and buying a bond that is identical in almost every respect except for the
price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time
when he does this. Rich Quick

A) engaged in a fraudulent activity.
B) is trading on insider information, which is a violation of securities laws.
C) is in violation of securities laws. Arbitrage is a prohibited activity.
D) is skilled if he is able to earn profits 95% of the time using this strategy.

3. MoeMoney Investment Advisers, LLC is registered in the state of Texas, and its three offices are all
located in the greater Dallas-Fort Worth area. Five of its clients-all individuals-have relocated to Colorado
and all have indicated a desire to retain the services of MoeMoney. In order for this to be possible,

A) MoeMoney will need to apply for and be granted registration as an investment adviser representative in the state of Colorado.
B) each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's behalf.
C) MoeMoney will need to apply for and be granted registration as an investment adviser in the state of Colorado.
D) Neither MoeMoney nor its clients need do anything.

4. Gazillions is an investment adviser with offices in the state that is registered with the SEC and has $100
billion dollars under management. A client has filed a complaint asserting that the firm has been involved
in fraudulent activities. In this case,

A) Gazillions is in trouble for not registering with both the state and the SEC given the amount of money it
has under management.
B) Gazillions has to answer to both the SEC and the state in which the complaint was filed.
C) Gazillions only has to answer to the state in which the complaint was filed.
D) Gazillions only has to answer to the SEC regarding the allegations. Since it is a federal covered
investment adviser, it need not respond to any state-issued requests for information.

5. In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A) all of the above. It is considered criminal fraud for an investment adviser to make any
recommendations on a security in which it has or plans to have a position.
B) An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock
as a "buy."
C) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy," disclosing the fact that it owns the stock
D) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy" without disclosing the fact that it owns the stock.

Solutions: