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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer with an office just across the state line.
Don can enter a commission-splitting agreement with

A) Huey only
B) Either Huey, Dewey, or Louie or any combination of the three
C) Dewey only
D) either Huey or Dewey or both

2. Which of the following persons is required to maintain its records in accordance with state dictates and meet the minimum net capital requirement imposed by the state?
I. federal covered adviser
II. state-registered investment adviser III. investment adviser representative

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

3. on No: 9
Rich Writewell wants to begin publishing an independent weekly financial newsletter that will provide investment recommendations as well as other financial news items to the general public. Rich hopes that his newsletter will achieve nationwide circulation within a few months.
Which of the following statements is true?

A) Rich will have to register as an investment adviser since his publication will include investment recommendations.
B) Rich will not have to register as an investment adviser since he is publishing a legitimate financial newsletter for distribution to the general public.
C) Rich will have to register as an investment adviser only if he sells this newsletter to the public. If the publication is to be distributed free of charge, he will not have to register.
D) Rich may be exempt from registering as an investment adviser if he is a lawyer, accountant, engineer, or teacher. Otherwise, he will have to register.

4. Under the NASAA Model Rules, which of the following must an investment adviser provide its clients with at least once a year?

A) the total amount of commissions or other compensation that the investment adviser received or expects to receive in connection with agency cross transactions performed for the client during the period
B) both A and B
C) the number of any complaints that each of its investment adviser representatives has received during the period
D) the total number of agency cross transactions completed for the client during the period

5. Which of the following would not fall under the classification of "institutional investor"?

A) Chase Bank
B) Prudential Insurance
C) Franklin Templeton Mutual Funds
D) Neuring Investment Advisers

Solutions: