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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. To continue operating as an agent, broker-dealer, investment adviser, or investment adviser representative next year, you must pay the filing fee to renew your license with the state Administrator by

A) January 30th of the new year.
B) January 15th of the new year.
C) the anniversary date of the original issue date on your license.
D) December 31st of this year.

2. The Administrator may require a firm to supply it with any prospectus, pamphlet, advertisement, or other sales literature intended for prospective investors unless the security
I. will be sold only through an investment advisory firm.
II. is a federal covered security.
III. is issued by a state credit union.

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

3. MoeMoney Investment Advisers uses the services of two broker-dealers exclusively when it executes trades for its clients' accounts. The larger of the two broker-dealers provides MoeMoney with research from its analyst department in return for the business and also serves as the custodian for some of MoeMoney's clients' accounts. The smaller of the two broker-dealers picks up the utility bill for MoeMoney. MoeMoney is careful to disclose this form of "soft dollar" compensation to its clients.
Is it in violation of any securities laws?

A) Yes. Investment advisers are prohibited from receiving any soft dollar compensation whatsoever.
B) No. Investment advisers are entitled to receive soft dollar compensation from broker-dealers with which it has a relationship as long as they disclose this to their clients.
C) Yes. Although investment advisers are permitted to receive some forms of soft dollar compensation from broker-dealers with which it has a relationship, such as research or custodial services, other forms of soft dollar compensation, including the payment of overhead expenses,are prohibited.
D) Yes. Investment advisers are required to use more than two broker-dealers when executing trades on its clients' accounts.

4. Mr. Teche is an agent with broker-dealer CanDo, and his only compensation is the commissions he earns on trades he executes. He has applied for and been granted an adjunct teaching position with a local university that will allow him to earn money while he is establishing himself.
Which of the following statements are true?

A) As an agent with broker-dealer CanDo, Mr. Teche must notify CanDo in writing of this position prior to accepting it.
B) CanDo can deny Mr. Teche permission to accept the adjunct teaching position.
C) Both A and B are true.
D) Mr. Teche is, in essence, an independent contractor with broker-dealer CanDo and can engage in any other business activity at will.

5. Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC must now
I. file a new U-5 form with the Administrator.
II. meet higher net capital requirements than before.
III. file an updated Form ADV with the Administrator.
IV. pay a CPA to do an annual unannounced audit of the firm.

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

Solutions: