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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following securities would be exempt from state registration requirements, according to the Uniform Securities Act?
I. a municipal bond issued by the Canadian province of Nova Scotia
II. a bond issued by the county of Cork, Ireland
III. a bond issued by Nationwide Insurance Company

A) Selection I only
B) Selection III only
C) All of the selections would be exempt from state registration requirements under the Uniform
D) Selection I and III only

2. In which of the following instances is it permissible for an investment adviser to borrow money from a client?

A) The investment adviser may borrow money in either of the scenarios described in B or C.
B) The investment adviser may borrow money from a client if the client is a bank.
C) The investment adviser may borrow money from a client if the client is a close friend of the majority owner of the investment advisory firm.
D) It is never permissible for an investment adviser to borrow money from a client.

3. S. White and Associates is an investment adviser registered in the state of Kentucky and, as such, is meeting Kentucky's minimum net capital requirement for investment advisers. The firm recently registered with the state of Virginia and has opened an office there. Virginia has a significantly higher net capital requirement for its investment advisers.
Which of the following statements is true?

A) According to the Securities Exchange Act of 1934, S. White needs to meet at least the minimum net capital requirement specified by that Act since it is now operating in multiple states.
B) According to the Investment Advisers Act of 1940, S. White needs only to meet the net capital requirement of Kentucky.
C) According to the Investment Advisers Act of 1940, S. White will have to maintain a minimum net capital equal to the average of the net capital requirements of the two states.
D) According to the Uniform Securities Act, S. White will have to meet Virginia's higher requirement.

4. Which of the following laws deals with identity theft protection?

A) Regulation S-P
B) the USA Patriot Act
C) ERISA
D) the Bank Secrecy Act (BSA)

5. Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed every material fact, how long does the Administrator have after the effective date of the registration to commence a proceeding to deny, suspend, or revoke that person's license based on those facts?

A) 60 days.
B) 90 days.
C) 30 days.
D) one year.

Solutions: