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College Finance
What are some of the things to consider when choosing a brokerage house?
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
Redemption of a no-load fund may be made at the
  1. NAV - the sales charge
  2. NAV
  3. POP
  4. NAV + the sales charge
Continuing Education Finance
Mutual funds shares that have been redeemed are cancelled; they are never
Continuing Education Finance
An investor buys and redeems shares at the price next calculated...
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
SIPC provides coverage up to $50,000
  1. w/ no more than $150,000 in cash
  2. w/ no more than $500,000 in cash
  3. w/ no more than $100,000 in cash
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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