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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following scenarios does not meet the definition of "custody" under NASAA Model Rules?

A) An investment adviser has general power of attorney for a client and is authorized to withdraw client funds or securities that are on deposit with a registered broker-dealer upon the investment adviser's request.
B) An investment adviser is mistakenly sent a client's securities, but returns them to the sender within three business days of receipt.
C) An investment adviser keeps a client's securities in its safety deposit box.
D) An investment adviser receives a check from a client that is written to a mutual fund and forwards the check to the mutual fund within three business days of receipt.

2. A "notice filing" refers to

A) the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a registration application with the state Administrator.
B) the filing by a federal covered investment adviser of forms already filed with the SEC along with a consent to service of process with the state Administrator.
C) a document that the issuer must file with the SEC informing the SEC that the firm has applied to the state for registration of its new security.
D) notification to the public by the issuer or its underwriters that the issue is being sold on an "all or nothing" basis.

3. Harry Lange manages the investment portfolio for the Fidelity Magellan Mutual Fund. Mr. Lange is a(n)

A) investment company.
B) broker-dealer.
C) investment adviser.
D) agent.

4. BigCash Broker-Dealers is registered in the state and is in the process of purchasing a smaller broker-dealer, Target Investments, as a subsidiary. Target Investments is also registered in the state.
After completing the purchase, what actions must BigCash take regarding registration of its new subsidiary?

A) BigCash need do nothing since Target Investments was already duly registered with the state as a broker-dealer.
B) BigCash must file a new application with the state to register its new subsidiary and must also pay the annual filing fees required by the Administrator.
C) BigCash will need to pay the annual filing fees required by the Administrator, but will not need to file a new registration application.
D) BigCash must file a new application with the state to register its new subsidiary, but will be able to utilize the remainder of any annual filing fees that Target Investments had paid for the year.

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

A) Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services to an insurance company located in the state.
B) Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy individuals who are residents of the state.
C) 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.
D) MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.

Solutions: