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

2. Which of the following would not appear on a trade confirmation?

A) the commission
B) All of the above items appear on a trade confirmation.
C) the settlement date
D) the client's account number

3. Which of the following describes an investment adviser that is not required to register with the state
Administrator?

A) Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy
individuals who are residents of the state.
B) CanDo Broker-Dealers is a state-registered broker-dealer. It has begun to offer asset management
services to a few of its wealthier clients for a small management fee equal to 0.1% of the assets under
management.
C) Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services
to an insurance company located in the state.
D) MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.

4. An arrangement wherein a terminally ill person sells a second party his life insurance policy at a discount
from its face value, giving the buyer the right to the policy's face value when the seller dies is called a:

A) life straddle.
B) deceased option.
C) viatical settlement.
D) death warrant.

5. Which of the following does not describe a prohibited practice for investment advisers?
I. The adviser sells its non-institutional clients securities that it has issued.
II. The adviser makes a discretionary trade for a client after receiving verbal authorization only and does
not receive written authorization from the client within 10 business days of doing so.
III. The investment adviser requires an advisory fee of $300 to be paid in advance at the beginning of
each quarter.

A) I and III only
B) II and III only
C) I only
D) None of the selections describe prohibited practices.

Solutions: