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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. As an agent, which of the following statements about the Securities Investor Protection Corporation (SIPC)
can you legitimately make to your client?

A) "The SIPC is a government agency created by an Act of Congress to combat fraud."
B) "The SIPC is a government agency that was created by an Act of Congress to protect investors against
losses in the stock and bond market."
C) The SIPC is the FDIC of the stock and bond markets."
D) "The SIPC was established to restore funds to investors when the brokerage firm they have been using
is bankrupt or in financial distress."

2. Which of the following statements regarding an investment adviser representative who has an office in the
state is true?

A) If the investment adviser is registered with the SEC, then neither the investment adviser nor any of its
affiliated investment adviser representative needs to be registered with the state.
B) Regardless of whether the investment adviser is registered with the SEC or is registered with the state,
all investment adviser representatives of the firm must be registered with the state if they have offices in
the state.
C) If an investment adviser representative is registered with the SEC, he or she need not obtain state
registration, regardless of whether the investment adviser representative has an office in the state.
D) If the investment adviser that the investment adviser representative is affiliated with is itself registered
with the state, then the investment adviser representative does not need to apply for a separate
registration, regardless of whether the investment adviser representative has an office in the state.

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

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

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

5. Which of the following would not be found in a tombstone advertisement?

A) the names of the underwriters
B) the interest rate and time to maturity of a bond issue
C) the price at which the security will be offered
D) the name of the issuer

Solutions: