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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following entities must sign a "consent to service of process," thereby allowing the
Administrator to receive legal documents that are meant to be served to the entity in place of that entity?
I. agents
II. investment advisers
III. investment adviser representatives
IV. broker-dealers

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

2. Constance is an investment adviser representative. She told one of her clients that he should put at least
1 5% of his investment monies in a U.S. government bond mutual fund.
She explained that she believed that he required this percentage to meet his liquidity needs, and U.S.
government bond funds are risk-free. A few months later, the client needed to sell some of his fund shares
in order to pay some medical bills and was surprised to discover that he lost money on the sale because
the net asset value of the fund had dropped. Was Constance guilty of any securities violations?

A) No. U.S. government bonds are often referred to as risk-free investments, so Constance made no
misstatement of fact in telling her client this.
B) Yes. Constance should never recommend that a client invest such a high percentage of his investment
monies in a U.S. government bond mutual fund.
C) Yes. Constance is guilty of fraud. She misled the client into thinking he couldn't lose any money if he
invested the money in a U.S. government bond mutual fund.
D) It depends. If Constance realized that the client could lose money in a U.S. government bond fund,
then she is guilty of fraud, but if she did not herself realize that, then she is merely misinformed.

3. Which of the following is an example of commingling?

A) Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for
which Mr. Hawk works.
B) In order to generate more commissions for herself Ms. Fox makes trades on some of her client's
accounts and has the trade confirmations sent to a P.O box she owns.
C) All of the above are examples of commingling.
D) Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the
client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account.

4. A "notice filing" refers to

A) the filing by a federal covered investment adviser of forms already filed with the SEC along with a
consent to service of process with the state Administrator.
B) the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a
registration application with the state Administrator.
C) a document that the issuer must file with the SEC informing the SEC that the firm has applied to the
state for registration of its new security.
D) notification to the public by the issuer or its underwriters that the issue is being sold on an "all or
nothing" basis.

5. Which of the following would a firm not be expected to provide to the Administrator when registering an
issue of securities with the state?

A) the agreement among the underwriters themselves
B) The firm will be expected to provide all of the above to the Administrator when registering an issue of
securities with the state.
C) all sales and advertising materials that will be used in conjunction with the offering.
D) the agreement between the issuing firm and the underwriters

Solutions: