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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't
privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had
his license revoked. In this instance,

A) you are no longer a licensed agent with the state and must reapply for a license in order to work for
another broker-dealer.
B) you can simply find another broker-dealer to hire you and have your license transferred to him.
C) you must wait until the broker-dealer's day in court before you can work in the securities industry again
because the Administrator will want to be certain that you knew nothing of it.
D) the state Administrator will assign you and any other affected agents to work for other broker-dealers
registered with the state.

2. Which of the following laws deals with identity theft protection?

A) Regulation S-P
B) the USA Patriot Act
C) the Bank Secrecy Act (BSA)
D) ERISA

3. A variable annuity is:

A) a security, but is exempt from state registration.
B) a security and, therefore, has to be registered with the state before it can be offered for sale.
C) not a security, but is still required to be registered with the state before it can be offered for sale.
D) not a security and, therefore, does not have to be registered with the state.

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

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

5. A-2-Z Associates advertises itself as a full service brokerage firm that will buy and sell securities for its
clients, as well as provide investment advice to them. Its brochure provides a variety of plans to which a
client can subscribe. The basic plan is the cheapest and allows the client a maximum number of trades
per month for a specified fee. Another, slightly more expensive, plan provides the client with the same
maximum number of trades per month, but the client also receives a personalized quarterly review of his
portfolio along with advice for restructuring his portfolio based on such factors as current market
conditions and specific industry or company information. The most expensive plan is one in which the
client is assigned to an individual portfolio manager, who will take total responsibility for the asset
allocation of the client's portfolio and will provide the client with monthly reports. Based on the services
A-2-Z provides, it must register with the state as:

A) both a broker-dealer and an investment adviser.
B) an investment adviser.
C) a broker-dealer.
D) an investment adviser representative.

Solutions: