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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the order ticket will be

A) Tuesday, September 28th.
B) Friday, September 24th.
C) Thursday, September 23rd.
D) Monday, September 27th.

2. Which of the following does not need to be included in an investment advisory contract?

A) a statement that the contract cannot be assigned to another party without the client's consent
B) the advisory fees and the formula used to compute them
C) the total amount of money that the investment adviser currently has under management
D) the term of the contract

3. Which of the following would not fall under the classification of "institutional investor"?

A) Franklin Templeton Mutual Funds
B) Neuring Investment Advisers
C) Chase Bank
D) Prudential Insurance

4. Which of the following statements best explains the difference between an agent and a broker-dealer?

A) An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he does not own in return for a commission on the transactions he executes. A broker-dealer may also buy and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on those securities.
B) Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy and sell bonds and option contracts.
C) Agents conduct their business exclusively in the secondary market, while broker-dealers also operate in the primary market.
D) A broker-dealer must be licensed in the state in which he conducts business, but there are no separate licensing requirements for agents.

5. Which of the following describes an investment adviser that is not required to register with the state Administrator?

A) Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy individuals who are residents of the state.
B) Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services to an insurance company located in the state.
C) MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.
D) CanDo Broker-Dealers is a state-registered broker-dealer. It has begun to offer asset management services to a few of its wealthier clients for a small management fee equal to 0.1% of the assets under management.

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