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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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 III only
B) I only
C) I, II and III
D) I and II only

2. Which of the following would not appear on a trade confirmation?

A) the client's account number
B) All of the above items appear on a trade confirmation.
C) the settlement date
D) the commission

3. AllTime Investment Advisers advertises that its phones are manned 24/7, so that a client "doesn't have to
lie awake all night worrying about a financial problem." In fact, AllTime does have a answering service that
answers calls in the evenings and on the weekends when its offices are closed. The service informs the
caller of the firm's business hours, which will be the earliest opportunity the caller will have to talk to an
investment adviser representative. Is this a violation of any securities laws?

A) No. The firm's phones are manned 24/7, so it hasn't lied.
B) It depends. If, before a client signs a contract with the firm, it is made clear that investment adviser
representatives are not, in fact, available to him 24/7, then AllTime is in the clear.
C) No. It's not a violation of any securities laws, but the firm probably won't retain many clients this way.
D) Yes. The Uniform Securities Act prohibits investment advisers from making deceptive statements in the
solicitation of clients as well as in advising clients.

4. Assuming there is not a stop order or a proceeding pending, under the registration by coordination
process a security's registration with the state becomes effective:

A) only when it is approved by the state Administrator, regardless of whether it has been approved by the
SEC.
B) only when it is approved by the state Administrator, who will review the registration documentation
upon notification that SEC approval has been granted.
C) immediately subsequent to approval by the SEC, regardless of how long the registration statement has
been on file.
D) immediately after approval by the SEC as long as the registration statement has been on file for at least
2 0 days or the Uniform Securities Act has provided an exemption to this waiting period.

5. Which of the following laws deals with identity theft protection?

A) the Bank Secrecy Act (BSA)
B) the USA Patriot Act
C) ERISA
D) Regulation S-P

Solutions: