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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The Administrator of a state will deny the registration of a security if
I. the mandated filing fee has not been paid.
II. the compensation of the underwriters is excessive.
III. the registration statement is incomplete.
IV. the issuer is registering the security through the registration by coordination process and has not
complied with all the stipulated requirements.

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

2. Which of the following would not be a prohibited activity for a broker-dealer?
I. A broker-dealer tells a client that a municipal revenue bond offered by the city of Boston, Massachusetts
is almost risk-free because it is backed by the taxes paid to the city, and the city generates a lot of tax
dollars.
II. A broker-dealer sells a client some bonds that the broker-dealer has in its portfolio, after informing the
client that it is acting as a seller in the transaction.
III. A broker-dealer purchases some stock that a client is selling for its own portfolio, after informing the
client that it is acting as a buyer in the transaction.
IV. A broker-dealer purchases 1,000 shares of Southwest Airlines for a client who calls and asks the
broker-dealer to buy some shares of a domestic airline stock at a good price for him and receives written
discretionary authority from the client two days later, prior to the settlement date.

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

3. 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, II, and IV only
B) none of the above. An investment adviser is never allowed to share in the capital gains earned on
C) I, II, and III only
D) I and II only

4. Which of the following does not describe a prohibited practice for investment advisers?
I. The adviser sells its non-institutional clients securities that it has issued.
II. The adviser makes a discretionary trade for a client after receiving verbal authorization only and does
not receive written authorization from the client within 10 business days of doing so.
III. The investment adviser requires an advisory fee of $300 to be paid in advance at the beginning of
each quarter.

A) II and III only
B) I and III only
C) I only
D) None of the selections describe prohibited practices.

5. A tombstone advertisement is

A) the only type of advertisement that an investment advisory firm is allowed to use.
B) the announcement of a new security that may become available for purchase.
C) an offer to sell a new security.
D) an offer to sell a new security that is being issued by an Arizona firm.

Solutions: