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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Alice Wonder called her broker on Tuesday, August 10th, with a market order to buy 10 calls on the stock
of Abbott Laboratories. Under normal conditions, Alice will have to pay for the calls on

A) Tuesday, August 10th.
B) Monday, August 16th.
C) Friday, August 13th.
D) Wednesday, August 11th.

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

3. Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC
must now
I. file a new U-5 form with the Administrator.
II. meet higher net capital requirements than before.
III. file an updated Form ADV with the Administrator.
IV. pay a CPA to do an annual unannounced audit of the firm.

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

4. Skip is a registered agent with state. He recently quit his job with Venus Broker-Dealers to become
affiliated with Mars Broker-Dealers. Which of the three entities must report this change to the state
Administrator?

A) Both Skip and Venus
B) Skip only
C) Skip and either Mars or Venus, but not both
D) Skip, Mars, and Venus

5. You are a registered agent with a broker-dealer. One of your clients visits you and wants you to sell some
of the U.S. government bonds she owns and purchase shares of a specific aggressive growth mutual fund
for her with the proceeds. Your client is a mentally-competent, 84-year-old woman but, based on your
other knowledge of her situation, you believe it to be an unwise move. You should

A) advise her that you don't believe this is in her best interest, but execute the required transactions if she
insists.
B) turn the matter over to your supervisor.
C) nod politely, but not execute the transactions since they are not in her best interest.
D) call the mutual fund and tell them that they must convince this client that an investment in their fund is
not in her best interest, under penalty of law.

Solutions: