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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In which of the following cases is an investment adviser allowed to be compensated with a share of the capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.

A) none of the above. An investment adviser is never allowed to share in the capital gains earned on
B) I and II only
C) I, II, and III only
D) I, II, and IV only

2. Once you have passed the Series 63 examination, which entity must then approve your application to sell securities?

A) FINRA
B) NASAA
C) SEC
D) the state administrator

3. 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.

4. Which of the following is not a security, as defined by the Uniform Securities Act?
I. an option contract
II. a futures contract on gold
III. a 401K plan
IV. a variable annuity

A) Selections II, III and IV are not securities.
B) Only Selection III is not a security.
C) Only Selections II and III are not securities.
D) None of the selections listed are securities.

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

Solutions: