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Chapter 12 Flashcards
Decks in this Class (5):
face amount certificate company,
unit investment trust
registration of investment companies,
what percentage of the board of direc...,
investment companies are prohibited from
all transactions in an open end inves...,
a finra member may purchase shares of an,
a b d may only purchase shares of an ...
when must an investment company make ...,
formation of hedge funds,
liquidity in hedge funds
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