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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) 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.
C) Yes. Based on the facts presented, it is an unsolicited offer and, as such, Joe can (and should) accept
it.
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. According to the NASAA Model Rules, a broker-dealer is not permitted to allow a customer to engage in
margin transactions unless

A) the client has been a customer of the firm for at least 6 months.
B) the broker-dealer already has a margin agreement signed by the client in hand.
C) the client has a net worth of at least $500,000.
D) the broker-dealer receives a margin agreement signed by the client promptly after the client's first
margin transaction.

3. Which of the following statements would not be in violation of NASAA rules regarding the sale of
investment company shares?
I. "Investing your money in shares of this money market mutual fund is identical to putting your money in a
savings account at a bank, except the money market fund provides a higher return."
II. "Our U.S. government bond fund is invested only in government bonds issued by the U.S. government
and is, therefore, a risk-free investment."
III. "You are investing $22,000 in this fund today. The fund has a 5% load at this investment level, but if
you sign a letter of intent to invest another $3,000 within the next 13 months, your load will be reduced to
4 %. If something comes up and you can't invest the extra $3,000 within 13 months, you will only need to
pay the difference in the two loads."

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

4. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and
arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to
market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the
public. In this scenario, which party is the issuer?

A) HiGrowth Corporation
B) BigFee Investment Bankers
C) Mr. Bigwig
D) GetErDone Broker-Dealers

5. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and
arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to
market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the
public. In this scenario, which party is the broker?

A) HiGrowth Corporation
B) BigFee Investment Bankers
C) Mr. Bigwig
D) GetErDone Broker-Dealers

Solutions: