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FINRA Uniform Securities Agent State Law Examination Sample Questions:

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

2. Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the Administrator?

A) QuikDeals has the sole responsibility for notifying the Administrator. Maddie is no longer deemed to be an agent after she terminated her relationship with QuikDeals, so she need do nothing.
B) Maddie has the sole responsibility for notifying the Administrator.
C) Both QuikDeals and Maddie are responsible for notifying the Administrator.
D) It depends. If Maddie becomes affiliated with another broker-dealer within thirty days, then she must notify the Administrator of her termination with QuikDeals and her current affiliation with the new firm.
Otherwise, only QuikDeals must notify the Administrator.

3. When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.

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

4. Which of the following constitutes a non-punitive order?

A) registration denial
B) summary license suspension
C) registration cancellation
D) All of the above are punitive orders.

5. 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.

Solutions: