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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following are accurate statements regarding the minimum financial requirements for
investment advisers according to the NASAA Model Rules?
I. Any investment adviser who has discretionary authority over a client's assets, but who does not have
actual custody of client funds or securities, is required to maintain a minimum net worth of $10,000 at all
times.
II. An investment adviser who requires that a fee of more than $500 from his clients be paid six months or
more in advance must maintain a positive net worth at all times.
III. Only an investment adviser who has actual custody of client assets is subject to a minimum net worth
requirement, which the NASAA Model Rules specifies is $10,000.

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

2. 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) I and II only
C) II and III only
D) I, II, III, and IV

3. Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly
refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her
commissions from these transactions to the parish. Is Carrie doing anything illegal?

A) Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer
B) No. Carrie is just donating some of her commissions back to the church, and transactions with
C) It depends. As long as the church parishioners are aware of the arrangement between Carrie and
D) It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with

4. Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a
certain stock. The report was generated by CanDo's analyst department and is hot off the presses. It has
not yet even been put on the firm's website for the firm's clients.
The analyst department has just changed its recommendation on the stock from "Hold" to "Strong Buy"
based on new information that it has obtained on the company. Can Noah
rush to his office to buy shares of the stock before the analysts release their reports to CanDo's clients?

A) Both B and C are true statements.
B) No. It is unethical for him to trade based on this information before the firm's clients have received the
information.
C) Yes. The firm's analysts used publicly available information to assess the stock and make its
recommendation, so Noah can buy the stock now on his own account.
D) No. This is a prohibited activity referred to as "painting the tape."

5. If a person has had its license revoked by the Administrator of the state and has appealed the decision to
a court of law, that person

A) is considered to have a revoked license until the courts rule otherwise.
B) Both B and C are true statements.
C) must notify the Administrator of the state that it has appealed the decision.
D) can continue business as usual pending the resolution of the appeal.

Solutions: