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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The current yield on a bond fund refers to

A) the return that the fund earned based only on the interest income it received
B) the return that the fund earned because of the capital appreciation of the securities in the fund.
C) the total return that the fund has earned over the most recent 12-month period.
D) the percentage increase in the fund's net asset value.

2. Cal Turner calls his client and recommends that the client sell his shares in the Alpha High Quality Bond Fund and use the proceeds to buy shares in the Omega High Quality Bond Fund. Cal has done nothing unethical if his recommendation is based on the fact that

A) It would always be unethical for Cal to recommend that a client sell shares in one fund in order to buy shares of another fund that has the same investment objective.
B) the Alpha Fund has a back-end load.
C) the Omega Fund has a front-end load.
D) the Alpha Fund has been performing poorly relative to other funds in the same category.

3. BondsRUs is a broker-dealer that (unsurprisingly) specializes in bonds. The firm has found that it is able to sell Treasury bonds that it buys for $90 per $100 of par value for $99 per $100 of par value to some of its more naive clients, who never pay attention to the confirmation statements BondsRUs sends them. BondsRUs is guilty of

A) both B and C.
B) overcharging its clients by unreasonable markups. A $9 dealer's spread on Treasury bonds is unwarranted.
C) fraud.
D) nothing. It is acting as a dealer in bonds and, as such, can charge its clients whatever the clients are willing to pay.

4. BigCash Broker-Dealers is registered in the state and is in the process of purchasing a smaller broker-dealer, Target Investments, as a subsidiary. Target Investments is also registered in the state.
After completing the purchase, what actions must BigCash take regarding registration of its new subsidiary?

A) BigCash need do nothing since Target Investments was already duly registered with the state as a broker-dealer.
B) BigCash must file a new application with the state to register its new subsidiary and must also pay the annual filing fees required by the Administrator.
C) BigCash will need to pay the annual filing fees required by the Administrator, but will not need to file a new registration application.
D) BigCash must file a new application with the state to register its new subsidiary, but will be able to utilize the remainder of any annual filing fees that Target Investments had paid for the year.

5. Julia Hasty has recently applied with the Administrator to be a registered investment adviser in the state. Eager to open her new business, she has business cards printed that indicate that she is a "state-registered" investment adviser and visits some local businesses, asking them for permission to put some of her cards in their waiting rooms.
Has Julia violated any of the provisions of the Uniform Securities Act by distributing her business cards?

A) No. As long as her application has been submitted and is pending acceptance, Julia has not violated any provisions of the Uniform Securities Act.
B) No. The provisions of the Uniform Securities Act relate to securities, not people.
C) Yes. Julia is not permitted to advertise as a "state-registered" investment adviser until she receives notification of the acceptance of her application by the state Administrator.
D) No. Julia has merely put her business cards in waiting rooms. She has not opened her business to clients yet.

Solutions: