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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the state has been revoked. What legitimate options does Sam have available to him now?

A) Sam can register with the SEC as an investment adviser, which will exempt him from state registration requirements.
B) Sam has 60 days to file an appeal of the decision in a court of law.
C) Sam can move to another state and apply for registration as an investment adviser there.
D) Sam has 45 days in which to file an appeal with the attorney general.

2. 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) All of the above are legitimate compensation arrangements between and investment adviser and an individual client with a net worth of $600,000.
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) The client agrees to pay the investment adviser an hourly fee of $60.00.

3. You have recently discovered that a security you purchased has not been registered with the state, nor is it exempt from registration. You can file a civil claim against the seller as long as you do so within

A) two years from discovery or three years from the event, whichever comes first.
B) three years from discovery or five years from the event, whichever comes first.
C) one year from discovery.
D) five years.

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

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

5. A margin transaction refers to a transaction

A) in which the client borrows some of the money that he is investing.
B) that is illegal under the guidelines of the Uniform Securities Act.
C) in which a registered agent makes trades on a customer's account without that customer's knowledge.
D) Both A and C are true statements.

Solutions: