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Series 6 > Unit 3: Product Information/investment Company Securities & Variable Contracts > Flashcards

Unit 3: Product Information/investment Company Securities & Variable Contracts Flashcards

1
Q

When closed in funds are trading in the secondary market closed in funds need _______ with a prospectus

A

-not be sold

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2
Q

Financial information and a prospectus maybe no more than ________ old

A

-16 months

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3
Q

Closed-end funds must be sold with a prospectus in their ________ only

A

-IPO

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Series 6 (5 decks)

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