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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following conditions is necessary for an act involving securities fraud to be considered
criminal and subject to criminal penalties?

A) The victim(s) lost a combined total of at least $25,000 because of the act.
B) The Administrator decides to send the case to criminal court.
C) The act extended across state lines.
D) The perpetrator willfully committed the fraudulent act.

2. Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail
from Mr. Wolf regarding her performance as his agent. What are Ms. Swyne's legitimate options?

A) Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to
revoke the complaint.
B) Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.
C) As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and
make it all go away.
D) Ms. Swyne must forward the complaint to the state Administrator.

3. A-2-Z Associates is a full service brokerage and is also in the investment advisory industry, charging its
clients for investment advice for additional remuneration. Which of the following statements is true?

A) A-2-Z can charge the client both an advisory fee for its advice and a commission on any trade the client
makes based on the advice. This is all laid out in the advertising brochures full service brokerage firms
like A-2-Z provide their prospective clients.
B) A-2-Z can charge an individual client an advisory fee for its advice or a commission when it executes a
trade that the client makes based on that advice, but not both.
C) A-2-Z can charge the client both an advisory fee for its advice and a commission for the execution of a
trade based on that advice, but it must inform the client of its potential conflict of interest in doing so and
get the client's written consent.
D) A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no
commissions may be collected.

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

5. Harry Lange manages the investment portfolio for the Fidelity Magellan Mutual Fund. Mr. Lange is a(n)

A) investment adviser.
B) investment company.
C) agent.
D) broker-dealer.

Solutions: