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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following funds can an agent indicate is "no load?"

A) a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund
and a rear-end load that varies depending on how long the investor has held the shares.
B) Both A and C can be advertised as "no load" funds.
C) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets
of the fund.
D) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets
of the fund.

2. Which of the following statements regarding an investment adviser representative who has an office in the
state is true?

A) If the investment adviser is registered with the SEC, then neither the investment adviser nor any of its
affiliated investment adviser representative needs to be registered with the state.
B) If an investment adviser representative is registered with the SEC, he or she need not obtain state
registration, regardless of whether the investment adviser representative has an office in the state.
C) Regardless of whether the investment adviser is registered with the SEC or is registered with the state,
all investment adviser representatives of the firm must be registered with the state if they have offices in
the state.
D) If the investment adviser that the investment adviser representative is affiliated with is itself registered
with the state, then the investment adviser representative does not need to apply for a separate
registration, regardless of whether the investment adviser representative has an office in the state.

3. Which of the following is a security as defined by the Uniform Securities Act (USA)?

A) a term life insurance policy
B) a debenture
C) Both A and B are securities as defined by the Uniform Securities Act.
D) a futures option contract on wheat

4. Under the Uniform Securities Act (USA), the term "investment adviser" does not apply to
I. an investment advisory firm owned and operated by a sole proprietor.
II. a bank or savings institution.
III. an investment adviser representative.
IV. a broker-dealer or its agents if the advice is incidental to the business although there is a nominal
charge for any specific investment advice given.

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

5. Treadwater Bank and Trust is selling a portfolio of municipal bonds it owns to the SafeRisk Insurance
Corporation. Under the Uniform Securities Act (USA), in this transaction Treadwater is defined as a

A) broker-dealer.
B) issuer.
C) none of the above.
D) agent.

Solutions: