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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would not fall under the classification of "institutional investor"?

A) Prudential Insurance
B) Chase Bank
C) Neuring Investment Advisers
D) Franklin Templeton Mutual Funds

2. Mr. Sailor is cruising through the Bahamas when he learns that a healthcare company in which he owns
stock is being sued by former patients, doctors, nurses, and even the federal government. He doesn't
have his broker's number handy, and he doesn't have internet access, so he calls his son and tells him to
call the broker and instruct the broker to sell his shares. As a registered agent for his broker, you take the
call. Should you execute this transaction?

A) Yes, as long as the son presents proper identification that proves his relationship to Mr. Sailor, such as
a birth certificate.
B) No, not unless you and your broker-dealer have a written document that gives Mr. Sailor's son the
power-of-attorney to trade on his account.
C) Yes, as long as the son is at least 21 years old and not a minor child.
D) Yes. This is a legitimate request from a client, and you are required to follow the client's instructions.

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

4. A tombstone advertisement is

A) the announcement of a new security that may become available for purchase.
B) an offer to sell a new security that is being issued by an Arizona firm.
C) the only type of advertisement that an investment advisory firm is allowed to use.
D) an offer to sell a new security.

5. Harry Lange manages the investment portfolio for the Fidelity Magellan Mutual Fund. Mr. Lange is a(n)

A) investment company.
B) agent.
C) investment adviser.
D) broker-dealer.

Solutions: