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

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

Flashcards in Unit 3: Product Information/investment Company Securities & Variable Contracts Deck (3)
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1

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

-not be sold

2

Financial information and a prospectus maybe no more than ________ old

-16 months

3

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

-IPO