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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. An investment adviser or its representative may

A) only exercise any discretionary power in the purchase or sale of securities for a client's account after receiving written authority prior to the execution of the transactions.
B) exercise discretionary power in the purchase or sale of securities for a client's account as long as.
C) exercise discretionary power in the purchase or sale of securities for a client's account only after.
D) exercise discretionary power in the purchase or sale of securities for a client's account as long as it receives written discretionary authority over the account within 10 business days of the first discretionary transaction placed, assuming oral authority has already been given.

2. A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.

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

3. Once you have passed the Series 63 examination, which entity must then approve your application to sell securities?

A) NASAA
B) SEC
C) the state administrator
D) FINRA

4. 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.

5. Which of the following is not considered to be a security, as defined by the Uniform Securities Act (USA)?

A) a debenture
B) an annuity contract wherein an insurance company promises to pay a fixed sum, either in a lump amount or through periodic payments.
C) a put option
D) a certificate of deposit (CD)

Solutions: