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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would not appear on a trade confirmation?

A) the settlement date
B) All of the above items appear on a trade confirmation.
C) the commission
D) the client's account number

2. The Administrator may not introduce a stop order to deny, revoke, or suspend the effective registration of
a security based on facts that were disclosed during the registration process unless he does so within

A) 45 days.
B) 1 year.
C) 30 days.
D) 60 days.

3. In which of the following cases is an investment adviser allowed to be compensated with a share of the
capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.

A) I, II, and IV only
B) I and II only
C) none of the above. An investment adviser is never allowed to share in the capital gains earned on
D) I, II, and III only

4. MoeMoney Investment Advisers uses the services of two broker-dealers exclusively when it executes
trades for its clients' accounts. The larger of the two broker-dealers provides MoeMoney with research
from its analyst department in return for the business and also serves as the custodian for some of
MoeMoney's clients' accounts. The smaller of the two broker-dealers picks up the utility bill for MoeMoney.
MoeMoney is careful to disclose this form of "soft dollar" compensation to its clients. Is it in violation of any
securities laws?

A) Yes. Investment advisers are required to use more than two broker-dealers when executing trades on
its clients' accounts.
B) Yes. Investment advisers are prohibited from receiving any soft dollar compensation whatsoever.
C) Yes. Although investment advisers are permitted to receive some forms of soft dollar compensation
from broker-dealers with which it has a relationship, such as research or custodial services, other forms of
soft dollar compensation, including the payment of overhead expenses,are prohibited.
D) No. Investment advisers are entitled to receive soft dollar compensation from broker-dealers with which
it has a relationship as long as they disclose this to their clients.

5. Which of the following does not necessarily have to be included in the contract between an investment
adviser and an individual client, according to the Uniform Securities Act (USA)?

A) a statement stipulating that the contract cannot be assigned to another party without the client's
consent
B) the compensation agreement, which cannot be a percentage of the capital gains or capital appreciation
earned on the portfolio for all but the wealthiest of individual clients.
C) if the investment adviser is a partnership, a statement indicating that the client will be notified if there is
any change in the partners within a reasonable time period
D) a statement of the investment policy that has been agreed upon between the adviser and the client

Solutions: