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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. An investment adviser or its representative may

A) 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.
B) exercise discretionary power in the purchase or sale of securities for a client's account as long as
C) 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.
D) exercise discretionary power in the purchase or sale of securities for a client's account only after

2. In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A) all of the above. It is considered criminal fraud for an investment adviser to make any
recommendations on a security in which it has or plans to have a position.
B) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy," disclosing the fact that it owns the stock
C) An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock
as a "buy."
D) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy" without disclosing the fact that it owns the stock.

3. Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk,
is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk
reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own
knowledge. Based on these facts, which of the following statements is true?

A) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is
providing investment advice.
B) Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the
facts provided.
C) Erin must register as an investment adviser since she is providing investment advice.
D) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is
providing investment advice, and Erin must register as an investment adviser representative as the firm's
employee.

4. According to the NASAA Model Rules, which of the following institutions would not be considered a
qualified custodian?

A) a bank that is insured by a private, state-sponsored insurance company
B) a broker-dealer that is registered with the state
C) a savings institution that is insured by the FDIC
D) a foreign financial institution

5. Under NASAA Model Rules, it is permissible for the registered representative of a broker-dealer to split
his or her commission with
I. a client.
II. the broker-dealer with which the registered representative is affiliated.
III. another registered representative working for the same broker-dealer.
IV. the administrative assistant who directs calls to the registered representative and provides other
services for the agent.

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

Solutions:

Question # 1 Answer: A

Question # 2 Answer: C

Question # 3 Answer: B

Question # 4 Answer: A

Question # 5 Answer: C