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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following entities are subject to post-registration provisions?
I. broker-dealers
II. agents
III. investment advisers
IV. investment adviser representatives

A) I and II only
B) II and IV only
C) I and III only
D) All of the entities are subject to post-registration provisions.

2. When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses

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

3. Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his
portfolio to banks and insurance companies located in the state that purchase the bonds for their
investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the
price appreciation of the bonds during the time he held them, but receives no other form of compensation.
Based on these facts,

A) Wheeler must register as a broker-dealer in the state, and the securities must also be registered before
they can be sold to in-state investors.
B) Wheeler need not register in the state, but the securities must be registered before they can be sold to
in-state investors.
C) Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.
D) Wheeler need not register in the state, and the securities are also exempt from registration.

4. In which of the following instances is it permissible for an investment adviser to borrow money from a
client?

A) The investment adviser may borrow money in either of the scenarios described in B or C.
B) The investment adviser may borrow money from a client if the client is a close friend of the majority
owner of the investment advisory firm.
C) The investment adviser may borrow money from a client if the client is a bank.
D) It is never permissible for an investment adviser to borrow money from a client.

5. Which of the following entities is subject to be accused of churning?
I. investment advisers
II. investment adviser representatives
III. broker-dealers
IV. agents

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

Solutions: