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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses

A) I and III only
B) I only
C) I and II only
D) I, II and III

2. For how long after the effective date is a security's registration valid?

A) two years
B) three months
C) six months
D) one year

3. Ms. Ding is an administrative assistant to the manager of a mutual fund. Most of her day is spent entering
data onto a spreadsheet for her boss and answering phone calls. Some of the calls require her to provide
information about the some of the fund's financial aspects, such as its closing net asset value on the
previous day. What type of registration does Ms. Ding require in order to perform her duties?

A) Ms. Ding needs to apply for registration as an agent since she is providing financial information.
B) Ms. Ding needs to apply for registration as an investment adviser representative since she is providing
information about a specific mutual fund.
C) Ms. Ding will need to apply for registration as both an agent and an investment adviser representative
in this case since she is providing information about a mutual fund.
D) Ms. Ding does not need to apply for any type of registration. She is merely supplying information and is
not engaged in the purchase or sale of the fund shares.

4. Which of the following statements regarding an open-end investment company is not true?

A) Its securities are federal covered.
B) Its shares may sell for either net asset value or greater than net asset value, but not below
C) Its shares are bought and sold through the company.
D) Its shares are bought and sold on exchange floors.

5. Although an Administrator has broad powers, he or she cannot:

A) formulate rules and orders.
B) gather evidence.
C) issue subpoenas involving compulsory attendance.
D) deliver a judicial injunction.

Solutions: