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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Under the NASAA Model Rules, the statute of limitations for civil liabilities is

A) the earlier of two years after the discovery of the facts and four years after the violation.
B) the earlier of two years after the discovery of facts and three years after the sale.
C) three years after the discovery of the facts and four years after the violation, whichever is greater.
D) the earlier of three years after the discovery of facts and five years after the violation.

2. o: 52
Which of the following statements regarding "registration by qualification" is true?

A) In its simplest form, registration by qualification requires the issuer to supply voluminous amounts of information about both the firm and its directors, officers, and major shareholders.
B) Registration by qualification is the preferred method used by issuers since it requires the least amount of paperwork.
C) Registration by qualification refers to the fact that the highest quality bonds, i.e., those with a AAA rating, are exempt from registration with the state.
D) Registration by qualification refers to the fact that certain categories of securities are exempt from state registration requirements.

3. An investment adviser suggests that his client, Arnold, a 74-year old gentleman, should consider a reallocation of the assets in his portfolio. The adviser tells Arnold that he has far too much invested in bonds, which don't earn as much as stocks. He advises Arnold to take 80% of the money he has in bonds and invest it in an aggressive growth mutual fund that has provided an average annual return of 40% over the past three years.
Arnold is impressed and follows this advice. Shortly thereafter, there is a steep drop in the market in general, and the net asset value of the aggressive growth mutual fund falls 85%.
Does Arnold have any remedies available to him?

A) No. Arnold had the choice and got greedy. As the old saying goes, "Bulls get rich, and bears get rich, but pigs get led to slaughter."
B) No. The investment adviser had no way of knowing that the market was going to fall when he provided the advice, so the adviser did not fail in his fiduciary responsibility to Arnold.
C) Yes. Arnold can sue for the amount of his losses, plus interest, court costs, and attorneys' fees.
D) Yes. Arnold can sue for the amount of his losses, plus interest, as well as an amount assessed by the court for "pain and suffering."

4. An investment adviser or its representative may

A) 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.
B) exercise discretionary power in the purchase or sale of securities for a client's account as long as.
C) exercise discretionary power in the purchase or sale of securities for a client's account only after.
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.

5. A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can

A) refuse to pay for the stock on the settlement date.
B) sue CanDo for not getting him the best price of the day-or anything close to it.
C) refuse to pay CanDo commissions for the purchase.
D) do nothing about it.

Solutions: