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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A-2-Z Associates advertises itself as a full service brokerage firm that will buy and sell securities for its
clients, as well as provide investment advice to them. Its brochure provides a variety of plans to which a
client can subscribe. The basic plan is the cheapest and allows the client a maximum number of trades
per month for a specified fee. Another, slightly more expensive, plan provides the client with the same
maximum number of trades per month, but the client also receives a personalized quarterly review of his
portfolio along with advice for restructuring his portfolio based on such factors as current market
conditions and specific industry or company information. The most expensive plan is one in which the
client is assigned to an individual portfolio manager, who will take total responsibility for the asset
allocation of the client's portfolio and will provide the client with monthly reports. Based on the services
A-2-Z provides, it must register with the state as:

A) an investment adviser representative.
B) both a broker-dealer and an investment adviser.
C) a broker-dealer.
D) an investment adviser.

2. The Administrator may require a firm to supply it with any prospectus, pamphlet, advertisement, or other
sales literature intended for prospective investors unless the security
I. will be sold only through an investment advisory firm.
II. is a federal covered security.
III. is issued by a state credit union.

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

3. The Uniform Securities Act (USA) is

A) a group of laws requiring state-issued securities, such as municipal bonds, to be registered with
B) a set of guidelines for individual states to follow when formulating their own securities' laws.
C) a body of laws governing the purchase and sale of securities within a single state.
D) federal legislation that requires all states to adopt the same registration requirements for all

4. An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees

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

5. If an issuer registers securities with the state, how long can the documentation supplied in the registration
statement for those securities be incorporated by reference only into a registration statement for future
securities the issuer wants to offer for sale?

A) two years
B) five years
C) one year
D) seven years

Solutions: