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FINRA Uniform Securities Agent State Law Examination Sample Questions (Q160-Q165):

NEW QUESTION # 160
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. Neither MoeMoney nor its clients need do anything.
* B. MoeMoney will need to apply for and be granted registration as an investment adviser representative in the state of Colorado.
* C. each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's behalf.
* D. MoeMoney will need to apply for and be granted registration as an investment adviser in the state of Colorado.
Answer: A

Explanation:
Explanation
In order for MoeMoney to continue servicing its five individual clients who have relocated to Colorado, neither MoeMoney nor its clients need to do anything. The National Securities Markets Improvement Act of
1996 (NSMIA) established a "deminimis" exemption for investment advisers if they have no office in a state and do business with "no more than five non-institutional clients" during a one-year time frame.

NEW QUESTION # 161
In an arrangement between MoeMoney Investment Advisers and one of the firm's clients, the YourMoney mutual fund, part of MoeMoney's compensation is based how the fund performs compared to the S&P 500 Index. If the return on the fund exceeds the return on the index, MoeMoney gets a bonus. The S&P 500 had a return of negative 8% this year, and the fund returned a negative 2%, so MoeMoney invoiced the client for the bonus.
Has MoeMoney violated any securities laws?

* A. Yes. It is a violation of the Uniform Securities Act for an investment adviser to earn a bonus if a portfolio it manages loses money.
* B. Yes. Under no circumstances can a bonus be part of an investment adviser's compensation package according to the Uniform Securities Act.
* C. No. The fund beat the return on the S&P 500 Index, so MoeMoney is entitled to the bonus, based on its agreement with YourMoney.
* D. Yes. An investment adviser's compensation cannot be based on the capital appreciation of the portfolio.
Answer: C

Explanation:
Explanation
No. MoeMoney has not violated any securities laws. Even though the fund's return was negative, it still beat the return on the S&P 500 Index, and MoeMoney is entitled to the bonus. The Uniform Securities Act does not prohibit compensation agreements like this one as long as the client is a sophisticated investor, such as a mutual fund. This would not be permitted if the client were your average individual investor.

NEW QUESTION # 162
Which of the following is not considered to be a person, as defined by the Uniform Securities Act?

* A. a 16-year old cheerleader
* B. a law firm that is organized as a partnership
* C. a school district
* D. a corporation
Answer: A

Explanation:
Explanation
A minor is not considered to be a person, as defined by the Uniform Securities Act. However, partnerships, corporations, and governmental subdivisions, such as school districts, are included in the definition.

NEW QUESTION # 163
Noah Aull is an investment adviser representative with Canto Investment Advisers. A client has called and told Noah that he heard about a firm that had recently completed an IPO at a party he had attended that weekend and instructed Noah to purchase shares of the company, which was now trading on the OTC Bulletin Board. Noah did some research and felt the company was far too risky an investment for this client, so he did not execute the trade. This turned out to be fortunate for his client since the firm became insolvent within six months of its IPO.
Has Noah done anything wrong?

* A. Yes. Noah is guilty of making an unauthorized transaction and could have his license revoked.
* B. No. Noah did what he is hired to do-manage his clients' accounts to the best of his ability.
* C. Yes. Noah is guilty of not following a client's instructions and could have his license revoked.
* D. Yes. Noah is guilty of misappropriation and could have his license revoked.
Answer: C

Explanation:
Explanation
Yes. Noah is guilty of not following a client's instructions and could have his license revoked. A refusal to act on a client's legitimate order is a prohibited practice, even if the client would have lost money after-the-fact.

NEW QUESTION # 164
Bob Gogetter is an agent with CanDo Broker-Dealers. One of Bob's clients is out of the country and
cannot be contacted. The client holds some stock in a company that just released some information that
should make its stock price soar. Bob knows that this client would probably want to increase his holdings,
so Bob opens a margin account for his client and borrows the money to buy shares. As it happened, the
stock price did soar, and Bob's client earned a sizeable profit. Is Bob in violation of any securities acts?

* A. Yes. It is against the law for an agent to open a margin account for a client without the client's
* B. No, but only because Bob's client profited from Bob's intervention. If the stock had declined in
* C. No. Bob has a fiduciary responsibility to his client to act in his best interest, and Bob knew this
* D. Yes. Bob is guilty of prohibited practice of churning.
Answer: A

Explanation:
Yes. When he opened a margin account for a client without the client's written authorization,
Bob committed a securities violation. This is strictly prohibited regardless of whether the client profited or
not.

NEW QUESTION # 165
......

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