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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Gazillions is an investment adviser with offices in the state that is registered with the SEC and has $100 billion dollars under management. A client has filed a complaint asserting that the firm has been involved in fraudulent activities. In this case,

A) Gazillions has to answer to both the SEC and the state in which the complaint was filed.
B) Gazillions only has to answer to the state in which the complaint was filed.
C) Gazillions only has to answer to the SEC regarding the allegations. Since it is a federal covered investment adviser, it need not respond to any state-issued requests for information.
D) Gazillions is in trouble for not registering with both the state and the SEC given the amount of money it has under management.

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

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

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 His license to do business as an investment adviser in the state has been revoked.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

4. The trade confirmation must be received by the customer no later than

A) one week after the settlement date.
B) the settlement date.
C) the day after the trade takes place.
D) five business days after the settlement date.

5. Which of the following would a firm not be expected to provide to the Administrator when registering an issue of securities with the state?

A) all sales and advertising materials that will be used in conjunction with the offering.
B) the agreement between the issuing firm and the underwriters.
C) the agreement among the underwriters themselves.
D) The firm will be expected to provide all of the above to the Administrator when registering an issue of securities with the state.

Solutions: