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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. For how long after the effective date is a security's registration valid?

A) one year
B) six months
C) two years
D) three months

2. Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the
state has been revoked. What legitimate options does Sam have available to him now?

A) Sam can move to another state and apply for registration as an investment adviser there.
B) Sam can register with the SEC as an investment adviser, which will exempt him from state registration
requirements.
C) Sam has 45 days in which to file an appeal with the attorney general.
D) Sam has 60 days to file an appeal of the decision in a court of law.

3. A-2-Z Associates advertises itself as a full service brokerage firm that will buy and sell securities for its
clients, as well as provide investment advice to them. Its brochure provides a variety of plans to which a
client can subscribe. The basic plan is the cheapest and allows the client a maximum number of trades
per month for a specified fee. Another, slightly more expensive, plan provides the client with the same
maximum number of trades per month, but the client also receives a personalized quarterly review of his
portfolio along with advice for restructuring his portfolio based on such factors as current market
conditions and specific industry or company information. The most expensive plan is one in which the
client is assigned to an individual portfolio manager, who will take total responsibility for the asset
allocation of the client's portfolio and will provide the client with monthly reports. Based on the services
A-2-Z provides, it must register with the state as:

A) both a broker-dealer and an investment adviser.
B) an investment adviser.
C) an investment adviser representative.
D) a broker-dealer.

4. Joe Romeo is a broker-dealer registered with the state. He has recently hired Betty Buxom as his
administrative assistant. As part of her duties, he has given her the responsibility for effecting the
purchases and sales of securities for some of his firm's smaller accounts. Ms. Buxom has never applied
for nor been granted registration as a broker-dealer or agent. Based on these facts,

A) the Administrator is required by the Uniform Securities Act to revoke Joe Romeo's registration and file
criminal and civil charges against him.
B) the Administrator may elect to revoke or suspend Joe Romeo's registration, and Joe may also face
both civil and criminal penalties.
C) there is no problem as long as Ms. Buxom registers with the state as an agent within thirty days.
D) the Administrator is required to turn the case over to the state's district attorney, who will file criminal
charges against both Joe Romeo and Betty Buxom.

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

Solutions: