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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Jeremy Sly considered himself somewhat of an inventor. The only problem was that his day job interfered
with his opportunity to exercise his creativity. He came up with a plan to get outside investors to support
his inventive activities. To this end, he produced and distributed a brochure advertising partnership
interests with a guaranteed return on investment of at least 15% after the first 12 months, based on what
he had allegedly generated from his other (non-existent) inventions. Given these facts, is Jeremy guilty of
any security violations under the Uniform Securities Act (USA)?

A) No. It is not against the law to believe in oneself and promote one's ideas.
B) Yes. Even an "offer" to sell securities must not contain any untruths.
C) No. The facts don't indicate whether any partnership interests were actually sold, and there can be no
violation unless there is a sale.
D) No. An interest in a partnership is not considered a security.

2. To continue operating as an agent, broker-dealer, investment adviser, or investment adviser
representative next year, you must pay the filing fee to renew your license with the state Administrator by

A) January 15th of the new year.
B) December 31st of this year.
C) the anniversary date of the original issue date on your license.
D) January 30th of the new year.

3. Which of the following securities would not necessarily be exempt from state registration?

A) a stock listed on the Tokyo Stock Exchange
B) a bond issued by another state's employees' credit union
C) a stock listed as a NASDAQ National Market Issue.
D) a bond guaranteed by the Canadian government

4. In order to maintain its registration with a state, a broker-dealer may be required to
I. take a written or oral exam.
II. pay an annual filing fee.
III. maintain a minimum net capital.
IV. file all advertising material with the Administrator.

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

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

A) 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.
B) Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy
individuals who are residents of the state.
C) Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services
to an insurance company located in the state.
D) MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.

Solutions: