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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following securities would not necessarily be exempt from state registration?

A) a bond issued by another state's employees' credit union
B) a stock listed on the Tokyo Stock Exchange
C) a stock listed as a NASDAQ National Market Issue.
D) a bond guaranteed by the Canadian government

2. The discretionary powers over a clients' accounts differ between broker-dealers and investment advisers
in that

A) A broker-dealer can execute a discretionary transaction for a client upon receiving only verbal authority
initially, followed up by written authority to be received within 10 days of the order, whereas an investment
adviser must require that written authority for the transaction is in the mail before proceeding with the
transaction.
B) A broker-dealer can execute a discretionary transaction for a client upon receiving only verbal authority
initially, followed up by written authority to be received within 10 days of the order, whereas an investment
adviser must require that written authority for the transaction is provided before the transaction even takes
place.
C) An investment adviser can execute a discretionary transaction for a client upon receiving only verbal
authority initially, followed up by written authority to be received within 10 days of the order, whereas a
broker-dealer must require that written authority for the transaction is provided before the transaction
even takes place.
D) An investment adviser can execute a discretionary transaction for a client upon receiving only verbal
authority initially, followed up by written authority to be received within 10 days of the order, whereas a
broker-dealer must require that written authority for the transaction is in the mail before proceeding with
the transaction.

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

A) 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.
B) 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.
C) 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.
D) 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.

4. Once a broker-dealer has applied for and been granted state registration, the registration remains valid

A) for five years.
B) until December 31st.
C) for three years.
D) for twelve months.

5. Which of the following is not a security, as defined by the Uniform Securities Act?
I. an option contract
II. a futures contract on gold
III. a 401K plan
IV. a variable annuity

A) Only Selection III is not a security.
B) Selections II, III and IV are not securities.
C) Only Selections II and III are not securities.
D) None of the selections listed are securities.

Solutions: