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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following describes an investment adviser that is not required to register with the state
Administrator?

A) Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy
individuals who are residents of the state.
B) Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services
to an insurance company located in the state.
C) MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.
D) CanDo Broker-Dealers is a state-registered broker-dealer. It has begun to offer asset management
services to a few of its wealthier clients for a small management fee equal to 0.1% of the assets under
management.

2. Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly
refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her
commissions from these transactions to the parish. Is Carrie doing anything illegal?

A) It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with
B) No. Carrie is just donating some of her commissions back to the church, and transactions with
C) Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer
D) It depends. As long as the church parishioners are aware of the arrangement between Carrie and

3. According to the NASAA Model Rules, which of the following institutions would not be considered a
qualified custodian?

A) a broker-dealer that is registered with the state
B) a foreign financial institution
C) a bank that is insured by a private, state-sponsored insurance company
D) a savings institution that is insured by the FDIC

4. Broker-dealer Small & Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small
& Associates is required to

A) immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered
agent.
B) keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.
C) provide the client with a written response to the complaint.
D) call the client who complained and inform him of the disciplinary action that will be taken against Mr.
Gaunt.

5. Joe Romeo is a broker-dealer registered with the state. He has recently hired Betty Buxom as his
administrative assistant. As part of her duties, he has given her the responsibility for effecting the
purchases and sales of securities for some of his firm's smaller accounts. Ms. Buxom has never applied
for nor been granted registration as a broker-dealer or agent. Based on these facts,

A) the Administrator is required to turn the case over to the state's district attorney, who will file criminal
charges against both Joe Romeo and Betty Buxom.
B) the Administrator is required by the Uniform Securities Act to revoke Joe Romeo's registration and file
criminal and civil charges against him.
C) there is no problem as long as Ms. Buxom registers with the state as an agent within thirty days.
D) the Administrator may elect to revoke or suspend Joe Romeo's registration, and Joe may also face
both civil and criminal penalties.

Solutions: