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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Under the NASAA Model Rules, which of the following must an investment adviser provide its clients with at least once a year?

A) the number of any complaints that each of its investment adviser representatives has received during the period
B) the total amount of commissions or other compensation that the investment adviser received or expects to receive in connection with agency cross transactions performed for the client during the period
C) both A and B
D) the total number of agency cross transactions completed for the client during the period

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

3. 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 investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each quarter.
B) The client agrees to pay the investment adviser an hourly fee of $60.00.
C) 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.
D) All of the above are legitimate compensation arrangements between and investment adviser and an individual client with a net worth of $600,000.

4. In which of the following instances is it permissible for an investment adviser to borrow money from a client?

A) The investment adviser may borrow money from a client if the client is a close friend of the majority owner of the investment advisory firm.
B) The investment adviser may borrow money from a client if the client is a bank.
C) The investment adviser may borrow money in either of the scenarios described in B or C.
D) It is never permissible for an investment adviser to borrow money from a client.

5. Which of the following would fall under the definition of "agent," as defined by the Uniform Securities Act (USA)?

A) Joe works as an administrative assistant for broker-dealer GetErDone, doing data entry, filing client forms that contain confidential information, and directing calls to registered representatives of the firm.
B) TrustUs Bank has a subsidiary operation that sells mutual funds to the public.
C) None of the above would fall under the definition of "agent," as defined by the Uniform Securities Act (USA.)
D) Freedom broker-dealers executes the purchase and sale of securities for its customers.

Solutions: