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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: State Securities Acts and Related Rules & Regulations | 40% | - Definitions and jurisdiction - Regulation of broker-dealers and agents - Regulation of investment advisers and representatives - Registration of securities and exemptions |
| Topic 2: Prohibited Practices and Ethical Obligations | 20% | - Disclosure and fair dealing - Administrative remedies and enforcement - Fraudulent and unethical business conduct |
| Topic 3: Regulations of Investment Advisers and Representatives | 15% | - Advertising and recordkeeping rules - Fiduciary duties and disclosure requirements - Registration and exclusions |
| Topic 4: Regulations of Agents and Broker-Dealers | 25% | - Registration requirements and exemptions - Supervision and compliance responsibilities - Recordkeeping and reporting obligations |
Question 1
Big Bo is an investment adviser representative who has a lot of the members of a well-known professional football team as clients. In advertising his services, Big Bo can
A. list the names of the players he's advising as long as he doesn't provide any other specifics, such as the amount each one has invested with him.
B. use testimonials from any of the players who willingly provide them without compensation.
C. list the names of the players he's advising as long as he has their written permission to do so.
D. list the names of the players he's advising as long as he lists the names of all his other clients, too.
Question 2
Barring no irregularities (such as a license revocation by another state last year), after you have filed for registration as an agent, your license will be granted within
A. 45 days.
B. 14 business days.
C. 30 days.
D. 10 business days.
Question 3
uestion No: 157
An investment adviser may act as a custodian for a client's securities if
I. the Administrator of the state doesn't have a rule prohibiting custodial arrangements.
II. he informs the state Administrator in writing that he will be acting as a custodian for the client.
III. he arranges to pay an independent certified public accountant to perform an unannounced audit of his books each year so that the accountant can report his findings to the state Administrator.
A. I and II only
B. I and III only
C. I only
D. I, II and III
Question 4
In which of the following cases is an investment adviser allowed to be compensated with a share of the capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.
A. I and II only
B. I, II, and III only
C. none of the above. An investment adviser is never allowed to share in the capital gains earned on
D. I, II, and IV only
Question 5
Which of the following trades is illegal?
A. a short sale
B. a margin transaction
C. a market-not-held order
D. the sale of a mutual fund if the purchaser hasn't received a prospectus
Solutions:
| Question 1 Answer: C | Question 2 Answer: C | Question 3 Answer: D | Question 4 Answer: D | Question 5 Answer: D |
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