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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The discretionary powers over a clients' accounts differ between broker-dealers and investment advisers
in that

A) An investment adviser can execute a discretionary transaction for a client upon receiving only verbal
authority initially, followed up by written authority to be received within 10 days of the order, whereas a
broker-dealer must require that written authority for the transaction is provided before the transaction
even takes place.
B) A broker-dealer can execute a discretionary transaction for a client upon receiving only verbal authority
initially, followed up by written authority to be received within 10 days of the order, whereas an investment
adviser must require that written authority for the transaction is in the mail before proceeding with the
transaction.
C) A broker-dealer can execute a discretionary transaction for a client upon receiving only verbal authority
initially, followed up by written authority to be received within 10 days of the order, whereas an investment
adviser must require that written authority for the transaction is provided before the transaction even takes
place.
D) An investment adviser can execute a discretionary transaction for a client upon receiving only verbal
authority initially, followed up by written authority to be received within 10 days of the order, whereas a
broker-dealer must require that written authority for the transaction is in the mail before proceeding with
the transaction.

2. Big Bo is an investment adviser representative who has a lot of the members of a well-known professional
football team as clients. In advertising his services, Big Bo can

A) list the names of the players he's advising as long as he lists the names of all his other clients, too.
B) use testimonials from any of the players who willingly provide them without compensation.
C) list the names of the players he's advising as long as he has their written permission to do so.
D) list the names of the players he's advising as long as he doesn't provide any other specifics, such as
the amount each one has invested with him.

3. Although an Administrator has broad powers, he or she cannot:

A) formulate rules and orders.
B) issue subpoenas involving compulsory attendance.
C) gather evidence.
D) deliver a judicial injunction.

4. When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.

A) I, II and III
B) I and III only
C) I and II only
D) II and III only

5. You are an investment adviser to Mr. Crochety, an elderly man who lives solely on his social security
income although he managed to accumulate an investment portfolio worth about $100,000 over the years.
Mr. Crochety recently got his hands on a business publication and read about the tax-free interest paid by
municipal bonds. He calls you and instructs you to sell his other investments and invest all his money in a
municipal bond portfolio, so that "the government doesn't get any more of my hard-earned money." You
tell Mr. Crochety that you don't believe this is a wise move because he's in such a low tax bracket that
municipal bonds are not a good investment for him, but he is insistent. Based on these facts, you should

A) have Mr. Crochety sign a statement of investment policy that indicates that this transaction is being executed on the client's instructions and that you have advised the client against it.
B) call Mr. Crochety's relatives and suggest they have him examined for mental instability.
C) require Mr. Crochety to sign an affidavit of liability waiver, indicating that you will not be held responsible for any adverse consequences of this decision.
D) ignore Mr. Crochety's instruction since it is not in his best interest.

Solutions: