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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following may an investment adviser not use in an attempt to solicit new clients?

A) a free financial planning kit, with no obligation on the part of the potential client
B) a free initial consultation, with no obligation on the part of the potential client
C) a complete list of the stocks they have recommended in the past year, even if a statement is included
that states that past performance is no guarantee of future performance
D) testimonials of satisfied clients

2. Jeremy Sly considered himself somewhat of an inventor. The only problem was that his day job interfered
with his opportunity to exercise his creativity. He came up with a plan to get outside investors to support
his inventive activities. To this end, he produced and distributed a brochure advertising partnership
interests with a guaranteed return on investment of at least 15% after the first 12 months, based on what
he had allegedly generated from his other (non-existent) inventions. Given these facts, is Jeremy guilty of
any security violations under the Uniform Securities Act (USA)?

A) No. It is not against the law to believe in oneself and promote one's ideas.
B) No. An interest in a partnership is not considered a security.
C) No. The facts don't indicate whether any partnership interests were actually sold, and there can be no
violation unless there is a sale.
D) Yes. Even an "offer" to sell securities must not contain any untruths.

3. Under which of the following scenarios can a client legitimately sue a purported professional in the
securities industry and expect an award for damages?
I. The securities were sold by an agent whose registration was not yet effective with the state, but who
had already applied for registration.
II. The security was a variable annuity, and the sales representative neglected to reveal the details of the
surrender clause to the client.
III. The security was the stock of a company, the stock had recently been registered with the state for sale,
had been granted registration, and the selling agent had told his client that the security had been
state-approved for sale.

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

4. The maximum monetary civil liability that a person who has violated a securities law can be expected to
pay is

A) the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any state-determined "pain and suffering" award.
B) the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees - any income the victim has received on the investment.
C) the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any state-determined "pain and suffering" award - any income the victim has received on
the investment.
D) the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any income the victim has received on the investment.

5. Rich Writewell wants to begin publishing an independent weekly financial newsletter that will provide
investment recommendations as well as other financial news items to the general public. Rich hopes that
his newsletter will achieve nationwide circulation within a few months. Which of the following statements
is true?

A) Rich may be exempt from registering as an investment adviser if he is a lawyer,accountant, engineer,
or teacher. Otherwise, he will have to register.
B) Rich will have to register as an investment adviser since his publication will include investment
recommendations
C) Rich will have to register as an investment adviser only if he sells this newsletter to the public.If the
publication is to be distributed free of charge, he will not have to register.
D) Rich will not have to register as an investment adviser since he is publishing a legitimate financial
newsletter for distribution to the general public.

Solutions: