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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following is not a prohibited practice for a broker-dealer?

A) waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if
the client has that much cash available in his account
B) requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer
in "street name"
C) recommending a security to a new client without first ascertaining that client's level of risk tolerance
D) executing a trade for an account holder based on instructions from the account holder's spouse

2. John Ketchum is an investment adviser representative with Load Investment Advisers, which has a family
of load funds that it encourages its representatives to promote. Representatives of the firm that sell
shares in these funds to their clients receive a greater share of the load than they do if they sell load funds
offered by other firms. Based on these facts, which of the following statements is true?

A) If, after reviewing the information form a client has filled out, John believes that one of Load's funds is
an appropriate investment, John can recommend that the client invest in that fund. There is no disclosure
requirement necessary if the recommendation is a sound one that can be proved to be based on the
client's specific situation.
B) Both A and B are true.
C) John must provide his clients with a written disclosure that he will receive a greater remuneration for
selling shares in the Load family of funds than if he sells them shares in other funds before he provides his
clients with any investment advice.
D) John is obligated to try to sell his clients the funds offered by Load first since he is affiliated with them
and has a fiduciary responsibility to them.

3. Once you have passed the Series 63 examination, which entity must then approve your application to sell
securities?

A) SEC
B) FINRA
C) the state administrator
D) NASAA

4. You are a newly licensed agent and are making cold calls to generate business. According to the
Telephone Consumer Protection Act of 1991 (TCPA), you may only place your calls between the hours of

A) 8 a.m. and 9 p.m., based on your prospective customer's time zone.
B) 8 a.m. and 7 p.m., based on the Pacific Time Zone.
C) 8 a.m. and 7 p.m., based on your prospective customer's time zone.
D) 8 a.m. and 9 p.m., based on your time zone.

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

Solutions: