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| Section | Weight | Objectives |
|---|---|---|
| Regulations of Broker-Dealers | 12% | - Supervision and compliance obligations - Definition and legal status - Exclusions and exemptions from registration - Registration and post-registration requirements |
| Administrative Provisions and Remedies | 15% | - Powers of state securities administrators - Judicial review and appeals - Civil and criminal liabilities - Investigations, subpoenas, and orders |
| Regulations of Agents of Broker-Dealers | 13% | - Termination and notice requirements - Exemptions from registration - Registration procedures and Form U4 - Definition and scope of activities |
| Ethical Practices and Fiduciary Obligations | 40% | - Prohibited business practices - Anti-fraud provisions and misrepresentation - Conflicts of interest and compensation - Advertising and communication rules - Customer suitability and disclosure - Handling of customer funds and securities |
| Regulations of Investment Adviser Representatives | 5% | - Exclusions and exemptions - Definition and activities requiring registration - Registration and post-registration duties |
| Regulations of Investment Advisers | 5% | - Definition under Uniform Securities Act - Recordkeeping and reporting rules - Registration and exemptions |
| Regulations of Securities and Issuers | 10% | - Registration methods: coordination, qualification, filing - Definition of securities - Exempt securities and exempt transactions - Disclosure and anti-fraud requirements |
Question 1
Joe Treader is the owner of a small, state-registered investment advisory firm that is on the verge of
becoming insolvent. One of his clients who has become like a mother to him is aware of his financial
difficulties and has offered to sell off some of the assets that he manages for her and loan him the money
to get him through this period of economic
uncertainty until he is able to get on his feet again. Can Joe take her up on her offer?
A. Both A and B are true.
B. Yes, but only if Joe draws up a formal loan agreement with a fair interest rate, based on the going
market rates, stated in the agreement as well as a firm date for principal repayment.
C. Yes. Based on the facts presented, it is an unsolicited offer and, as such, Joe can (and should) accept
it.
D. No. As the client's investment adviser, he has a fiduciary relationship with the client. Entering a loan
agreement with this client could lead to conflicts of interest.
Question 2
Which of the following statements about agents is (are) false?
A. When an agent has a change of address, both he and his broker-dealer affiliate must inform the
Administrator.
B. An agent must demonstrate a specific minimum level of financial stability for his registration application
to be accepted.
C. If an agent files for bankruptcy, the Administrator may elect to terminate that agent's registration if the
Administrator believes it is "in the public interest" to do so.
D. All of the above are false statements.
Question 3
Which of the following describes an investment adviser that is not required to register with the state
Administrator?
A. CanDo Broker-Dealers is a state-registered broker-dealer. It has begun to offer asset management
services to a few of its wealthier clients for a small management fee equal to 0.1% of the assets under
management.
B. Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy
individuals who are residents of the state.
C. Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services
to an insurance company located in the state.
D. MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.
Question 4
Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?
A. an underwriter with no offices in the state that is helping a firm that is incorporated within the state with the sale of its new bond issue to insurance companies
B. a credit union that operates within the state and provides loans to its members
C. an agent who executes the purchase and sale of stocks and bonds for his clients
D. None of the above entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act.
Question 5
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. MoeMoney will need to apply for and be granted registration as an investment adviser representative in the state of Colorado.
B. each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's behalf.
C. MoeMoney will need to apply for and be granted registration as an investment adviser in the state of Colorado.
D. Neither MoeMoney nor its clients need do anything.
Solutions:
| Question 1 Answer: D | Question 2 Answer: B | Question 3 Answer: C | Question 4 Answer: D | Question 5 Answer: D |
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