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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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) 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
B) a statement stipulating that the contract cannot be assigned to another party without the client's
consent
C) 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.
D) a statement of the investment policy that has been agreed upon between the adviser and the client

2. Which of the following is a security as defined by the Uniform Securities Act (USA)?

A) a debenture
B) a futures option contract on wheat
C) a term life insurance policy
D) Both A and B are securities as defined by the Uniform Securities Act.

3. MoeMoney Investment Advisers, LLC is registered in the state of Texas, and its three offices are all
located in the greater Dallas-Fort Worth area. Five of its clients-all individuals-have relocated to Colorado
and all have indicated a desire to retain the services of MoeMoney. In order for this to be possible,

A) each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's
behalf.
B) MoeMoney will need to apply for and be granted registration as an investment adviser representative in
the state of Colorado.
C) Neither MoeMoney nor its clients need do anything.
D) MoeMoney will need to apply for and be granted registration as an investment adviser in the state of
Colorado.

4. Which of the following is not considered to be a person, as defined by the Uniform Securities Act?

A) a 16-year old cheerleader
B) a corporation
C) a law firm that is organized as a partnership
D) a school district

5. Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail
from Mr. Wolf regarding her performance as his agent. What are Ms. Swyne's legitimate options?

A) Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to
revoke the complaint.
B) Ms. Swyne must forward the complaint to the state Administrator.
C) Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.
D) As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and
make it all go away.

Solutions: