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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The state official who has regulatory authority over the securities industry within the state is known as the

A) attorney-general.
B) secretary of state.
C) administrator.
D) investor-protection officer.

2. Goldie Locks is an agent with Bear Broker-Dealers. One of her clients is a single woman, Annie Spinster, who is retired and needs income from her investment portfolio to meet her current needs for liquidity. In addition to investing in mutual funds, Annie likes the thrill of investing in single stocks and asks Goldie for recommendations. Goldie recommends Annie invest some of her money in Alcon (ACL), a medical instrument and supplies company selling on the NYSE, based on the fact that it has a high dividend yield and is paying a dividend of $2.21 a share, which is guaranteed to continue or even increase, Goldie assures Annie.
Has Goldie violated any laws or engaged in any prohibited practices?

A) Both A and B are true.
B) Yes. As the agent of a broker-dealer, Goldie is not permitted to make recommendations for specific investments. Only investment adviser representatives and investment advisers can do that.
C) Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend will continue or increase.
D) No. Goldie merely responded to a recommendation request from a client, and the recommendation is suitable since the client has a need for current income and the recommended stock pays a high dividend.

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

4. You have passed the necessary exams (congratulations!) and are applying for registration as a securities agent.
It is already the end of September. Therefore, you must pay

A) the full annual fee, and your license will expire on September 30th next year.
B) the full annual fee, and your license will expire on December 31st next year.
C) one-fourth of the annual fee required since only one quarter of the year remains.
D) the full annual fee, and your license will expire on December 31st this year.

5. Which of the following are accurate statements regarding the minimum financial requirements for investment advisers according to the NASAA Model Rules?
I. Any investment adviser who has discretionary authority over a client's assets, but who does not have actual custody of client funds or securities, is required to maintain a minimum net worth of $10,000 at all times.
II. An investment adviser who requires that a fee of more than $500 from his clients be paid six months or more in advance must maintain a positive net worth at all times.
III. Only an investment adviser who has actual custody of client assets is subject to a minimum net worth requirement, which the NASAA Model Rules specifies is $10,000.

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

Solutions: