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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would not fall under the classification of "institutional investor"?

A) Prudential Insurance
B) Franklin Templeton Mutual Funds
C) Chase Bank
D) Neuring Investment Advisers

2. Which of the following would meet the requirements for an "exempt security?"

A) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by Standard and Poors
B) a $500,000 promissory note that matures in two years
C) a $25,000 promissory note that matures in three months
D) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by Standard and Poors

3. It has come to the attention of the Administrator of the state that Samuel Shyster provided false information on his application to become a registered investment adviser with the state. Prior to revoking Samuel's license, the Administrator will provide Samuel with which of the following?
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences

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

4. Which of the following compensation arrangements between an investment adviser and an individual client with a net worth of $600,000 would be disallowed?

A) The client agrees to pay the investment adviser an hourly fee of $60.00.
B) All of the above are legitimate compensation arrangements between and investment adviser and an individual client with a net worth of $600,000.
C) The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each quarter.
D) The investment adviser will receive 0.1% of the total value of the client's assets under management as of the end of each month.

5. o: 52
Which of the following statements regarding "registration by qualification" is true?

A) In its simplest form, registration by qualification requires the issuer to supply voluminous amounts of information about both the firm and its directors, officers, and major shareholders.
B) Registration by qualification is the preferred method used by issuers since it requires the least amount of paperwork.
C) Registration by qualification refers to the fact that the highest quality bonds, i.e., those with a AAA rating, are exempt from registration with the state.
D) Registration by qualification refers to the fact that certain categories of securities are exempt from state registration requirements.

Solutions: