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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. After passing the necessary exams, you must submit which of the following to the state Administrator
when applying for registration as an agent?

A) a recent photograph of yourself
B) U-4
C) proof that you meet the state's minimum net capital requirement
D) Form ADV

2. Which of the following may an investment adviser not use in an attempt to solicit new clients?

A) a free financial planning kit, with no obligation on the part of the potential client
B) a free initial consultation, with no obligation on the part of the potential client
C) a complete list of the stocks they have recommended in the past year, even if a statement is included
that states that past performance is no guarantee of future performance
D) testimonials of satisfied clients

3. A hypothecation agreement refers to

A) an agreement wherein a client gives his broker-dealer discretion to purchase securities that the
broker-dealer deems appropriate in whatever quantity the broker-dealer feels appropriate and at a time
and price the broker-dealer believes is a good deal.
B) an agreement that a client must sign prior to executing any short sales with the broker-dealer.
C) an agreement signed by a client who is executing a margin transaction that allows the broker to hold
the margined securities in street name as collateral for the loan.
D) a document signed by a client indicating that he or she understands that some of the charts and
examples presented in a broker-dealer's advertising literature are based on hypothetical trades.

4. The Administrator may require a firm to supply it with any prospectus, pamphlet, advertisement, or other
sales literature intended for prospective investors unless the security
I. will be sold only through an investment advisory firm.
II. is a federal covered security.
III. is issued by a state credit union.

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

5. Barring no irregularities (such as a license revocation by another state last year), after you have filed for
registration as an agent, your license will be granted within

A) 10 business days.
B) 14 business days.
C) 45 days.
D) 30 days.

Solutions: