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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following does not describe a prohibited practice for investment advisers?
I. The adviser sells its non-institutional clients securities that it has issued.
II. The adviser makes a discretionary trade for a client after receiving verbal authorization only and does not receive written authorization from the client within 10 business days of doing so.
III. The investment adviser requires an advisory fee of $300 to be paid in advance at the beginning of each quarter.

A) I and III only
B) None of the selections describe prohibited practices.
C) I only
D) II and III only

2. Which of the following would not be found in a tombstone advertisement?

A) the name of the issuer
B) the price at which the security will be offered
C) the interest rate and time to maturity of a bond issue
D) the names of the underwriters

3. Jack Bean is employed by Giant Investment Advisers, LLC. His job duties include advising clients on the asset allocations of their portfolios. Jack Bean is

A) an agent.
B) an investment adviser.
C) an investment adviser representative.
D) an administrative assistant.

4. You have passed the necessary exams (congratulations!) and are applying for registration as a securities agent.
It is already the end of September. Therefore, you must pay

A) the full annual fee, and your license will expire on December 31st this year.
B) the full annual fee, and your license will expire on September 30th next year.
C) the full annual fee, and your license will expire on December 31st next year.
D) one-fourth of the annual fee required since only one quarter of the year remains.

5. Which of the following compensation arrangements between an investment adviser and an individual client with a net worth of $600,000 would be disallowed?

A) The client agrees to pay the investment adviser an hourly fee of $60.00.
B) The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each quarter.
C) The investment adviser will receive 0.1% of the total value of the client's assets under management as of the end of each month.
D) All of the above are legitimate compensation arrangements between and investment adviser and an individual client with a net worth of $600,000.

Solutions: