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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Big Bo is an investment adviser representative who has a lot of the members of a well-known professional
football team as clients. In advertising his services, Big Bo can

A) list the names of the players he's advising as long as he doesn't provide any other specifics, such as
the amount each one has invested with him.
B) list the names of the players he's advising as long as he lists the names of all his other clients, too.
C) list the names of the players he's advising as long as he has their written permission to do so.
D) use testimonials from any of the players who willingly provide them without compensation.

2. The 2003 NASAA Model Rule requires that investment advisers that are not federal covered maintain
their records for at least

A) seven years.
B) three years.
C) Investment advisers must maintain their records for as long as they remain registered with the state.
D) five years.

3. Bootstraps, Inc. is a family-owned business that has experienced enormous growth in the last couple of
years. The business needs more cash to support this growth and has decided to issue some promissory
notes, each with a face value of $5,000, for sale to the general public. The firm plans to hire three
individuals to help them sell these notes. These individuals will earn a commission based on the notes
they sell. Given these facts, which of the following is true?

A) The notes must be registered with the state, but the individuals hired to sell them are not required to be
registered.
B) Either the firm must register the notes with the state, or the individuals that are hired to sell the notes
must be registered as agents with the state, but not both.
C) The notes must be registered with the state, and the three individuals hired to sell the notes must be
registered as agents with the state.
D) Neither the notes nor the individuals selling the notes need to be registered with the state.

4. Finn Nance has recently passed his CFP exam and is now a certified financial planner. He has new
business cards printed that have the words "Certified Financial Planner" printed under his picture. In doing
so,

A) Finn has possibly violated a state securities regulation. The Administrator in many states prohibits the
use of the word "certified" on any advertisement for services.
B) Finn has violated a securities law. The Uniform Securities Act prohibits anyone from using the word
"certified" on any advertisement for services.
C) Finn has not violated any laws or engaged in any prohibited practices.
D) Finn is not in violation of any laws as long as he has notified the state Administrator of his new
designation and his new logo.

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

Solutions: