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FINRA Uniform Securities Agent State Law Examination Sample Questions:
1. Alter Advisers & Associates is a small investment adviser partnership registered only in a single state.
One of the partners has died, and the surviving spouse has sold that partnership interest to the surviving
partners. Which of the following statements are true?
I. Alter Advisers must inform the state Administrator of this event.
II. Alter Advisers must inform the SEC of this event.
III. Alter Advisers must notify the firm's clients of this event.
A) I, II, and III
B) I only
C) I and III only
D) I and II only
2. A broker-dealer of commodity futures contracts has been profiting by trading for its own account either
before or after executing a client's trade on the same commodity, depending on which will be most
advantageous. Under the Uniform Securities Act, the broker-dealer is guilty of
A) nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract
is not a security.
B) unauthorized transactions.
C) fraud.
D) churning.
3. Moe is a registered investment adviser doing business under the name of MoeMoney Investment
Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors;
Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical
duties. Given that Moe is already a registered investment adviser, which of the other three are
automatically registered as investment adviser representatives?
A) Larry, Mary and Curly
B) Mary and Curly only
C) Larry only
D) Larry and Mary only
4. When a client has purchased securities on margin, the broker-dealer
A) may require that the client leave all his securities, even those not purchased on margin, in street name.
B) Both B and C are correct statements.
C) must keep the securities that the client paid cash for separate from the securities that the client
purchased on margin.
D) may use any securities that the client purchased on margin as collateral for a loan from a bank upon
receiving a written agreement signed by the client.
5. The state official who has regulatory authority over the securities industry within the state is known as the
A) administrator.
B) secretary of state.
C) attorney-general.
D) investor-protection officer.
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: A | Question # 3 Answer: C | Question # 4 Answer: B | Question # 5 Answer: A |
