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SERIES 7 > Unit 17- SEC & SRO RULES > Flashcards

Unit 17- SEC & SRO RULES Flashcards

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Series 7 Top-off Exam flashcards
1
Q

When making statements about a fund’s cash returns, may you combine dividends with capital gains?

A

No

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2
Q

What is the current yield calculation for a mutual fund?

A

Annual Dividend/ POP

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3
Q

You MUST/MUST NOT disclose all material facts regarding the mutual fund to the audience?

A

MUST

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SERIES 7 (13 decks)

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