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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees

A) I or III only
B) I, II or III
C) I only
D) I or II only

2. Which of the following is not one of the criteria for a security to be eligible for registration by notification?

A) If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a
B) The issuer must never have defaulted on any bond or long-term lease obligation.
C) The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
D) The issuer must have preferred stockholders as well as common stockholders.

3. Big Bo is an investment adviser representative who has a lot of the members of a well-known professional football team as clients. In advertising his services, Big Bo can

A) list the names of the players he's advising as long as he lists the names of all his other clients, too.
B) list the names of the players he's advising as long as he doesn't provide any other specifics, such as the amount each one has invested with him.
C) list the names of the players he's advising as long as he has their written permission to do so.
D) use testimonials from any of the players who willingly provide them without compensation.

4. A broker-dealer cannot legally be

A) A broker-dealer can be any of the above.
B) an individual.
C) a sole-proprietorship.
D) a partnership.

5. A broker-dealer is required to keep his records for how long?

A) at least seven years
B) at least five years
C) broker-dealer is required to keep his records for as long as he is registered in the state.
D) at least three years

Solutions: