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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A-2-Z Associates is a full service brokerage and is also in the investment advisory industry, charging its
clients for investment advice for additional remuneration. Which of the following statements is true?

A) A-2-Z can charge the client both an advisory fee for its advice and a commission on any trade the client
makes based on the advice. This is all laid out in the advertising brochures full service brokerage firms
like A-2-Z provide their prospective clients.
B) A-2-Z can charge the client both an advisory fee for its advice and a commission for the execution of a
trade based on that advice, but it must inform the client of its potential conflict of interest in doing so and
get the client's written consent.
C) A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no
commissions may be collected.
D) A-2-Z can charge an individual client an advisory fee for its advice or a commission when it executes a
trade that the client makes based on that advice, but not both.

2. Under the guidelines of the Bank Secrecy Act (BSA), the Treasury Department now requires
broker-dealers to obtain and keep certain information relating to clients that make or receive funds
transfers that involve

A) $100,000 or more.
B) $3,000 or more.
C) $10,000 or more.
D) $5,000 or more.

3. Newbie Corporation is considering the possibility of an interstate initial public offering (IPO) of its stock. In
the initial meetings with BigFee Investment Bankers, Newbie has learned that the underwriting spread will
be 15%. Although the actual offering price won't be set until Newbie's registration statement is approved
by the SEC, BigFee has indicated that the offer price will probably be between $3 and $4 a share and that
the stock will initially be listed on the OTC Bulletin Board. What methods for state registration does
Newbie have available?
I. registration by coordination
II. registration by notification
III. registration by qualification

A) Method I only
B) Method II only
C) Methods I and III only
D) Newbie may elect to register by any one of the above methods although registration by qualification
would be the most burdensome choice.

4. Barring no irregularities (such as a license revocation by another state last year), after you have filed for
registration as an agent, your license will be granted within

A) 14 business days.
B) 30 days.
C) 45 days.
D) 10 business days.

5. Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are
licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey
is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer
with an office just across the state line. Don can enter a commission-splitting agreement with

A) Dewey only.
B) Huey only.
C) either Huey or Dewey or both
D) Either Huey, Dewey, or Louie or any combination of the three

Solutions: