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FINRA Uniform Securities Agent State Law Examination Sample Questions:

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

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

2. Bootstraps, Inc. is a family-owned business that has experienced enormous growth in the last couple of
years. The business needs more cash to support this growth and has decided to issue some promissory
notes, each with a face value of $5,000, for sale to the general public. The firm plans to hire three
individuals to help them sell these notes. These individuals will earn a commission based on the notes
they sell. Given these facts, which of the following is true?

A) The notes must be registered with the state, but the individuals hired to sell them are not required to be
registered.
B) Either the firm must register the notes with the state, or the individuals that are hired to sell the notes
must be registered as agents with the state, but not both.
C) The notes must be registered with the state, and the three individuals hired to sell the notes must be
registered as agents with the state.
D) Neither the notes nor the individuals selling the notes need to be registered with the state.

3. After passing the necessary exams, you must submit which of the following to the state Administrator
when applying for registration as an agent?

A) U-4
B) Form ADV
C) proof that you meet the state's minimum net capital requirement
D) a recent photograph of yourself

4. Joe Treader is the owner of a small, state-registered investment advisory firm that is on the verge of
becoming insolvent. One of his clients who has become like a mother to him is aware of his financial
difficulties and has offered to sell off some of the assets that he manages for her and loan him the money
to get him through this period of economic
uncertainty until he is able to get on his feet again. Can Joe take her up on her offer?

A) Both A and B are true.
B) Yes. Based on the facts presented, it is an unsolicited offer and, as such, Joe can (and should) accept
it.
C) No. As the client's investment adviser, he has a fiduciary relationship with the client. Entering a loan
agreement with this client could lead to conflicts of interest.
D) Yes, but only if Joe draws up a formal loan agreement with a fair interest rate, based on the going
market rates, stated in the agreement as well as a firm date for principal repayment.

5. Ms. Ding is an administrative assistant to the manager of a mutual fund. Most of her day is spent entering
data onto a spreadsheet for her boss and answering phone calls. Some of the calls require her to provide
information about the some of the fund's financial aspects, such as its closing net asset value on the
previous day. What type of registration does Ms. Ding require in order to perform her duties?

A) Ms. Ding will need to apply for registration as both an agent and an investment adviser representative
in this case since she is providing information about a mutual fund.
B) Ms. Ding does not need to apply for any type of registration. She is merely supplying information and is
not engaged in the purchase or sale of the fund shares.
C) Ms. Ding needs to apply for registration as an agent since she is providing financial information.
D) Ms. Ding needs to apply for registration as an investment adviser representative since she is providing
information about a specific mutual fund.

Solutions: