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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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 7 p.m., based on your prospective customer's time zone.
B) 8 a.m. and 9 p.m., based on your time zone.
C) 8 a.m. and 7 p.m., based on the Pacific Time Zone.
D) 8 a.m. and 9 p.m., based on your prospective customer's time zone.

2. For how long after the effective date is a security's registration valid?

A) six months
B) three months
C) two years
D) one year

3. Which of the following scenarios describes activities that are disallowed under the NASAA Model Rules?
I. Broker-dealer Anon observes that a client placed a stop loss order to sell her 1,500 shares of
Amazon.com stock for $131 when the stock was selling for $134. Anon sold the stock for $133 when it
started to fall during the day and credited the client's account with $131 per share when stock dropped
further to $129 a share.
II. Penny is an agent with Broker-dealer Anon. She recently recommended that a client buy a stock that
Penny thought would do well. As it turned out, Penny was wrong, and she offers to refund the commission
that the client paid her.
III. Broker-dealer Anon is part of the selling group of a hot new IPO. As such, the firm purchases 50% of
the shares for its own portfolio and sells the remainder to the public.

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

4. Constance is an investment adviser representative. She told one of her clients that he should put at least
1 5% of his investment monies in a U.S. government bond mutual fund.
She explained that she believed that he required this percentage to meet his liquidity needs, and U.S.
government bond funds are risk-free. A few months later, the client needed to sell some of his fund shares
in order to pay some medical bills and was surprised to discover that he lost money on the sale because
the net asset value of the fund had dropped. Was Constance guilty of any securities violations?

A) It depends. If Constance realized that the client could lose money in a U.S. government bond fund,
then she is guilty of fraud, but if she did not herself realize that, then she is merely misinformed.
B) No. U.S. government bonds are often referred to as risk-free investments, so Constance made no
misstatement of fact in telling her client this.
C) Yes. Constance should never recommend that a client invest such a high percentage of his investment
monies in a U.S. government bond mutual fund.
D) Yes. Constance is guilty of fraud. She misled the client into thinking he couldn't lose any money if he
invested the money in a U.S. government bond mutual fund.

5. Fly-By-Night Investment Advisers has closed its doors. Which of the following statements is true?

A) Fly-By-Night must send each of its former clients its records of all that client's transactions and
communications with the firm over the past five years.
B) Fly-By-Night is required to shred all documentation of client transactions and communications.
C) Fly-By-Night must send all records of client transactions and communications to the state Administrator
for safekeeping.
D) Fly-By-Night must preserve and maintain all records, including client transactions and communications,
advertising materials, and financial statements of the now-defunct business for five years.

Solutions: