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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The 2003 NASAA Model Rule requires that investment advisers that are not federal covered maintain
their records for at least

A) seven years.
B) three years.
C) five years.
D) Investment advisers must maintain their records for as long as they remain registered with the state.

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

3. When selling shares of an investment company to a client, an agent must provide the client with
I. the fund's prospectus, which provides information on any loads or other fees as well as historical return
information.
II. information about any breakpoints if it is a load fund along with an explanation of a letter of intent
III. information regarding the investment adviser used by the fund
IV. an explanation of the various loads and fees outlined in the fund's prospectus

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

4. Which of the following statements regarding the registration of broker-dealers and investment advisers is
true?

A) Investment advisers are required to register with both the state and the SEC, while broker-dealers may
be registered with only one or the other.
B) Both investment advisers and broker-dealers must be registered with the SEC and with the states in
which they have offices.
C) Investment advisers must always be registered with the SEC to conduct business; broker-dealers may
be registered with either an individual state or the SEC or both.
D) Investment advisers are required either to be registered with a state or with the SEC, while
broker-dealers must be registered both with the SEC and the state.

5. Which of the following practices would be prohibited in connection with the sale of investment company
shares?
I. selling a client shares of a load stock fund when a no load stock fund with the same investment
objective exists
II. selling the client shares of five S&P 500 Index mutual funds, offered by different fund families
III. encouraging a client to swap his money between two funds in the same family without informing him
that this creates a taxable event

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

Solutions: