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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following is not a method that can be used to register securities with the state?

A) registration by exception
B) registration by coordination
C) registration by notification
D) registration by qualification

2. When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses

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

3. Mr. and Mrs. Cleaver are nearing retirement and have made an appointment with Mr. Eddie, an
investment adviser representative who works for Haskell Investment Advisers, to get advice on how they
can better structure their investments to meet their retirement goals. Their son, Theodore, who has
recently graduated college and has a great job as a software writer for a video game company,
accompanies them. Mr. Eddie explains that the main goal of any plan is diversification and recommends
that Mr. and Mrs. Cleaver spread their investment monies equally among six load mutual funds that Mr.
Eddie can sell them. He suggests that Theodore follow suit and invest any monies he has equally among
the same ten funds. Has Mr. Eddie done anything wrong?

A) No. Diversification should, in fact, be the goal, and he has advised a well-diversified plan for his clients.
B) Yes. Clients who are ready to retire have different investment needs than a client who is just entering
the work force. The recommendation that both Theodore and his parents have the same asset allocation
is clearly unsuitable.
C) Yes. Mr. Eddie has advised his clients to invest in load funds when no load funds are clearly better
investments.
D) Yes. Mr. Eddie is guilty of misappropriation, a prohibited practice.

4. Which of the following constitutes a non-punitive order?

A) summary license suspension
B) registration cancellation
C) All of the above are punitive orders.
D) registration denial

5. Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are
licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey
is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer
with an office just across the state line. Don can enter a commission-splitting agreement with

A) Huey only.
B) Either Huey, Dewey, or Louie or any combination of the three
C) either Huey or Dewey or both
D) Dewey only.

Solutions: