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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Bootstraps, Inc. is a family-owned business that has experienced enormous growth in the last couple of years.
The business needs more cash to support this growth and has decided to issue some promissory notes, each with a face value of $5,000, for sale to the general public. The firm plans to hire three individuals to help them sell these notes. These individuals will earn a commission based on the notes they sell.
Given these facts, which of the following is true?

A) The notes must be registered with the state, and the three individuals hired to sell the notes must be registered as agents with the state.
B) Neither the notes nor the individuals selling the notes need to be registered with the state.
C) The notes must be registered with the state, but the individuals hired to sell them are not required to be registered.
D) Either the firm must register the notes with the state, or the individuals that are hired to sell the notes must be registered as agents with the state, but not both.

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

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

3. Which of the following does not need to be included in an investment advisory contract?

A) the advisory fees and the formula used to compute them
B) a statement that the contract cannot be assigned to another party without the client's consent
C) the total amount of money that the investment adviser currently has under management
D) the term of the contract

4. Under the guidelines of the Bank Secrecy Act (BSA), the Treasury Department now requires broker-dealers to obtain and keep certain information relating to clients that make or receive funds transfers that involve

A) $3,000 or more.
B) $100,000 or more.
C) $10,000 or more.
D) $5,000 or more.

5. Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the state has been revoked. What legitimate options does Sam have available to him now?

A) Sam can register with the SEC as an investment adviser, which will exempt him from state registration requirements.
B) Sam can move to another state and apply for registration as an investment adviser there.
C) Sam has 60 days to file an appeal of the decision in a court of law.
D) Sam has 45 days in which to file an appeal with the attorney general.

Solutions:

Question # 1 Answer: A

Question # 2 Answer: D

Question # 3 Answer: C

Question # 4 Answer: A

Question # 5 Answer: C