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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Mr. and Mrs. Cleaver are nearing retirement and have made an appointment with Mr. Eddie, an investment adviser representative who works for Haskell Investment Advisers, to get advice on how they can better structure their investments to meet their retirement goals. Their son, Theodore, who has recently graduated college and has a great job as a software writer for a video game company, accompanies them. Mr. Eddie explains that the main goal of any plan is diversification and recommends that Mr. and Mrs. Cleaver spread their investment monies equally among six load mutual funds that Mr. Eddie can sell them. He suggests that Theodore follow suit and invest any monies he has equally among the same ten funds.
Has Mr. Eddie done anything wrong?

A) Yes. Mr. Eddie is guilty of misappropriation, a prohibited practice.
B) Yes. Mr. Eddie has advised his clients to invest in load funds when no load funds are clearly better investments.
C) Yes. Clients who are ready to retire have different investment needs than a client who is just entering the work force. The recommendation that both Theodore and his parents have the same asset allocation is clearly unsuitable.
D) No. Diversification should, in fact, be the goal, and he has advised a well-diversified plan for his clients.

2. Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC must now
I. file a new U-5 form with the Administrator.
II. meet higher net capital requirements than before.
III. file an updated Form ADV with the Administrator.
IV. pay a CPA to do an annual unannounced audit of the firm.

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

3. An investment adviser representative with Capital Investment Advisors, Inc. advised his client to invest $5,000 in bonds of a firm that the adviser claimed was an investment "almost as risk-free as investing in U.S.
government bonds; maybe even more so, given the magnitude of the government deficit these days." The client paid a total of $200 for this advice. The bonds paid interest at the rate of 6%, with semiannual payments, and the client received $300 in interest payments before the firm went belly-up at the end of a year, and its bonds were deemed worthless. The client has filed suit, and its attorneys' fees and court costs are expected to be $1,000. When the investment is a bond, the state has recently been assessing an interest rate equal to the interest rate paid by the security as an equitable interest payment guideline in civil penalties.
The maximum the client can expect in civil penalties is

A) $5,200.
B) $5,900.
C) $6,200.
D) $6,000.

4. Your next-door neighbor's brother works for a large pharmaceutical company and confided in her that one of the company's chemists has just discovered a compound that will cure baldness and that the firm plans to make the discovery public later in the week. Your next-door neighbor passes this information on to you over a cup of coffee the next morning. You immediately call your broker and place an order to buy shares of the company's stock.
Has any illegal insider trading taken place?

A) Yes. You, your neighbor, and her brother are all guilty of illegal insider trading.
B) Yes. You are guilty of illegal insider trading because you traded on information that had not yet been made publicly available.
C) No. You are in no way related to your next-door neighbor's brother, and she could have been lying.
D) Yes. The agent who executes your purchase order has engaged in illegal insider trading.

5. Which of the following compensation arrangements between an investment adviser and an individual client with a net worth of $600,000 would be disallowed?

A) The client agrees to pay the investment adviser an hourly fee of $60.00.
B) The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each quarter.
C) The investment adviser will receive 0.1% of the total value of the client's assets under management as of the end of each month.
D) All of the above are legitimate compensation arrangements between and investment adviser and an individual client with a net worth of $600,000.

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