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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the
state has been revoked. What legitimate options does Sam have available to him now?

A) Sam can register with the SEC as an investment adviser, which will exempt him from state registration
requirements.
B) Sam can move to another state and apply for registration as an investment adviser there.
C) Sam has 60 days to file an appeal of the decision in a court of law.
D) Sam has 45 days in which to file an appeal with the attorney general.

2. Blue Sky Laws are designed to:

A) enhance the tourism industry within a state.
B) favor investment in companies that engage in environmentally friendly practices.
C) protect investors from fraud in their securities market transactions.
D) protect agents, broker-dealers, and investment advisers and their representatives from spurious
allegations of fraudulent activity.

3. Under NASAA Model Rules, it is permissible for the registered representative of a broker-dealer to split
his or her commission with
I. a client.
II. the broker-dealer with which the registered representative is affiliated.
III. another registered representative working for the same broker-dealer.
IV. the administrative assistant who directs calls to the registered representative and provides other
services for the agent.

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

4. Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the
Administrator?

A) Maddie has the sole responsibility for notifying the Administrator.
B) Both QuikDeals and Maddie are responsible for notifying the Administrator.
C) It depends. If Maddie becomes affiliated with another broker-dealer within thirty days, then she must
notify the Administrator of her termination with QuikDeals and her current affiliation with the new firm.
Otherwise, only QuikDeals must notify the Administrator.
D) QuikDeals has the sole responsibility for notifying the Administrator. Maddie is no longer deemed to be
an agent after she terminated her relationship with QuikDeals, so she need do nothing.

5. In which of the following cases is an investment adviser allowed to be compensated with a share of the
capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.

A) I, II, and III only
B) I, II, and IV only
C) I and II only
D) none of the above. An investment adviser is never allowed to share in the capital gains earned on

Solutions: