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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following actions is the Administrator of a state empowered to take?

A) gather evidence
B) require restitution for the victims of a scam
C) impose civil penalties in cases of fraud
D) The Administrator of a state has the authority to take all of the above actions.

2. Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based on these facts,

A) Needy is in violation of securities laws by acting as an issuer of securities.
B) Needy will be in violation of securities laws unless a waiver of compliance form is signed by the client and submitted to the administrator.
C) Needy is not in danger of violating any securities laws since the loan was unsolicited and has been properly executed via a promissory note.
D) Needy is in violation of securities laws only if the face value of the note is for $50,000 or more.

3. Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC must now
I. file a new U-5 form with the Administrator.
II. meet higher net capital requirements than before.
III. file an updated Form ADV with the Administrator.
IV. pay a CPA to do an annual unannounced audit of the firm.

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

4. A broker-dealer cannot legally be

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

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

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

Solutions: