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Continuing Education Finance Questions

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Continuing Education Finance
If an open-end investment company distributes shares to the public directly w/o the services of a distributor and the fund offers its shares with no charge and a 12b-1 fee of .25% or less, the fund is called a
Continuing Education Finance
Hypothetical illustrations may not be used to project or predict investment results. Illustrations may use any combination of assumed investment returns up to and including a gross rate of ___ , provided that one of the returns is a 0% gross rate. Illustrations must reflect the maximum mortality and expense charges associated with the policy for each assumed rater of return illustrated.
Continuing Education Finance
If a member can select the audience, it is
Continuing Education Finance
This written communication must be approved by a principal before its use-letter sent to 30 prospective customers offering advice about a stock
  1. True
  2. False
Continuing Education Finance
The no-approval clause must be included in the prospectus.
  1. True
  2. False
Continuing Education Finance
The total average annual return quotations must be for one, five and 20 year periods or since inception if the fund is new.
  1. True
  2. False
Continuing Education Finance
The regulatory element of continuing education req. must be completed within 120 dys of a person's 2nd registration anniversary and every 3 yrs thereafter. Registration that remains inactive after 2 years are terminated.
  1. True
  2. False
Continuing Education Finance
Current Investors want to generate additional current income- they need investments that can contribute current income and through DIV or interest pymts, where can they invest?
Continuing Education Finance
Who is eligible for breakpoints?
Continuing Education Finance
If an investment company does not offer certain features, the maximum permitted sales charge is
Continuing Education Finance
If a member cannot select the audience, it is
Continuing Education Finance
This type of share typically allow sales charge discounts from the front-end load, called breakpoints.
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