Chapter 8 Flashcards Preview

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Flashcards in Chapter 8 Deck (6)
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1

Ch8
A

General regulations and guidlines for sales literature

2

Ch8
B

Mutual fund sales communications

3

Ch8
C

Electronic communications

4

Ch8
D

General disclosure requirements

5

Ch8
E

Communicating trading information to customers

6

Ch8
F

Handling client complaints