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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following funds can an agent indicate is "no load?"

A) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets of the fund.
B) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets of the fund.
C) Both A and C can be advertised as "no load" funds.
D) a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund and a rear-end load that varies depending on how long the investor has held the shares.

2. Under the NASAA Model Rules, which of the following must an investment adviser provide its clients with at least once a year?

A) the number of any complaints that each of its investment adviser representatives has received during the period
B) the total amount of commissions or other compensation that the investment adviser received or expects to receive in connection with agency cross transactions performed for the client during the period
C) both A and B
D) the total number of agency cross transactions completed for the client during the period

3. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm.
When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public. In this scenario, which party is the issuer?

A) HiGrowth Corporation
B) BigFee Investment Bankers
C) Mr. Bigwig
D) GetErDone Broker-Dealers

4. The trade confirmation must be received by the customer no later than

A) one week after the settlement date.
B) five business days after the settlement date.
C) the day after the trade takes place.
D) the settlement date.

5. Ms. Ding is an administrative assistant to the manager of a mutual fund. Most of her day is spent entering data onto a spreadsheet for her boss and answering phone calls. Some of the calls require her to provide information about the some of the fund's financial aspects, such as its closing net asset value on the previous day.
What type of registration does Ms. Ding require in order to perform her duties?

A) Ms. Ding needs to apply for registration as an investment adviser representative since she is providing information about a specific mutual fund.
B) Ms. Ding will need to apply for registration as both an agent and an investment adviser representative in this case since she is providing information about a mutual fund.
C) Ms. Ding does not need to apply for any type of registration. She is merely supplying information and is not engaged in the purchase or sale of the fund shares.
D) Ms. Ding needs to apply for registration as an agent since she is providing financial information.

Solutions: