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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. An investment adviser or its representative may

A) only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
B) exercise discretionary power in the purchase or sale of securities for a client's account only after
C) exercise discretionary power in the purchase or sale of securities for a client's account as long as
D) exercise discretionary power in the purchase or sale of securities for a client's account as long as it
receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.

2. Which of the following entities are subject to post-registration provisions?
I. broker-dealers
II. agents
III. investment advisers
IV. investment adviser representatives

A) I and II only
B) II and IV only
C) I and III only
D) All of the entities are subject to post-registration provisions.

3. Gazillions is an investment adviser with offices in the state that is registered with the SEC and has $100
billion dollars under management. A client has filed a complaint asserting that the firm has been involved
in fraudulent activities. In this case,

A) Gazillions only has to answer to the SEC regarding the allegations. Since it is a federal covered
investment adviser, it need not respond to any state-issued requests for information.
B) Gazillions only has to answer to the state in which the complaint was filed.
C) Gazillions is in trouble for not registering with both the state and the SEC given the amount of money it
has under management.
D) Gazillions has to answer to both the SEC and the state in which the complaint was filed.

4. A variable annuity is:

A) not a security, but is still required to be registered with the state before it can be offered for sale.
B) a security and, therefore, has to be registered with the state before it can be offered for sale.
C) a security, but is exempt from state registration.
D) not a security and, therefore, does not have to be registered with the state.

5. Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license
of a person?

A) The person has been convicted of check kiting within the past ten years.
B) The applicant has never before worked in the securities industry although he has received the requisite
training.
C) Some of the information supplied on the registration application was found to be false.
D) The person is a broker-dealer whose agents have repeatedly been accused of churning and burning,
according to written client complaints.

Solutions: