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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. An arrangement wherein a terminally ill person sells a second party his life insurance policy at a discount
from its face value, giving the buyer the right to the policy's face value when the seller dies is called a:

A) death warrant.
B) viatical settlement.
C) life straddle.
D) deceased option.

2. The Administrator may not introduce a stop order to deny, revoke, or suspend the effective registration of
a security based on facts that were disclosed during the registration process unless he does so within

A) 1 year.
B) 60 days.
C) 45 days.
D) 30 days.

3. MoeMoney Investment Advisers, LLC is registered in the state of Texas, and its three offices are all
located in the greater Dallas-Fort Worth area. Five of its clients-all individuals-have relocated to Colorado
and all have indicated a desire to retain the services of MoeMoney. In order for this to be possible,

A) MoeMoney will need to apply for and be granted registration as an investment adviser in the state of Colorado.
B) each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's behalf.
C) Neither MoeMoney nor its clients need do anything.
D) MoeMoney will need to apply for and be granted registration as an investment adviser representative in the state of Colorado.

4. An investment adviser may not

A) also be registered as a broker-dealer in the state.
B) take a position-either long or short-in securities in which any of its clients have a position.
C) recommend a stock to a client that the adviser itself holds without disclosing to the client that the
adviser owns the stock.
D) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their
clients' accounts.

5. 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 IV only
B) II and III only
C) I, II, III, and IV
D) I and IV only

Solutions: