FINRA FINRA Certification Series_63

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly
refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her
commissions from these transactions to the parish. Is Carrie doing anything illegal?

A) It depends. As long as the church parishioners are aware of the arrangement between Carrie and
B) Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer
C) No. Carrie is just donating some of her commissions back to the church, and transactions with
D) It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with

2. An investment adviser
I. provides investment advice to clients.
II. sells securities to clients.
III. buys and sells securities in their clients' accounts for the clients.

A) I and II only.
B) I and III only.
C) I, II, and III.
D) I only.

3. Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?

A) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with
the sale of its new bond issue to insurance companies
B) a credit union that operates within the state and provides loans to its members
C) None of the above entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act.
D) an agent who executes the purchase and sale of stocks and bonds for his clients

4. The Uniform Securities Act (USA) is

A) a body of laws governing the purchase and sale of securities within a single state.
B) a set of guidelines for individual states to follow when formulating their own securities' laws.
C) a group of laws requiring state-issued securities, such as municipal bonds, to be registered with
D) federal legislation that requires all states to adopt the same registration requirements for all

5. Which of the following are accurate statements regarding the minimum financial requirements for
investment advisers according to the NASAA Model Rules?
I. Any investment adviser who has discretionary authority over a client's assets, but who does not have
actual custody of client funds or securities, is required to maintain a minimum net worth of $10,000 at all
times.
II. An investment adviser who requires that a fee of more than $500 from his clients be paid six months or
more in advance must maintain a positive net worth at all times.
III. Only an investment adviser who has actual custody of client assets is subject to a minimum net worth
requirement, which the NASAA Model Rules specifies is $10,000.

A) I and II only
B) III only
C) II and III only
D) I only

Solutions:

Question # 1 Answer: B

Question # 2 Answer: B

Question # 3 Answer: C

Question # 4 Answer: B

Question # 5 Answer: A