1
Q
When making statements about a fund’s cash returns, may you combine dividends with capital gains?
A
No
2
Q
What is the current yield calculation for a mutual fund?
A
Annual Dividend/ POP
3
Q
You MUST/MUST NOT disclose all material facts regarding the mutual fund to the audience?
A
MUST
SERIES 7
flashcards
Decks in class (13)
# Cards
-
Unit 5- Customer Accounts25
-
Unit 6- Margin Accounts33
-
Unit 7- Issuing Securities40
-
Unit 8- Trading Securities48
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Unit 9- Brokerage Support Services16
-
Unit 10- Investment Products41
-
Unit 11- Retirement Plans46
-
Unit 12- Variable Annuities27
-
Unit 13- Direct Participation Programs20
-
Unit 14- Economics & Analysis59
-
Unit 15- Ethics/Taxation32
-
Unit 16- US Gov & State Reg25
-
Unit 17- SEC & SRO RULES3
