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Which of the following is not provided for by Blue Sky laws?
interstate mail fraud in securities offerings. Blue Sky laws are state security laws and do not cover interstate regulations.
Which of the following is not an investment company within the terms of the Investment Company Act of 1940?
a holding company dealing in mineral leaseholds. The other choices are the three classifications of investment companies under the 1940 act.
Bubba is eligible for a Roth IR
without restriction. A SEP-IRA may be converted to a Roth IRA. The two-year holding period applies to SIMPLE-IRAs.
Which of the following is not usually an additional function of a mutual fund's custodial bank?
investment advisor. The custodial bank is usually also selected for other functions, but not as investment advisor. That assignment is generally performed by a special advisory firm or the mutual fund management company.
In the distribution of a new issue, a dealer acting as an underwriter is said to have a:
firm commitment. The term underwriting means a guarantee to the issuing corporation. This is a firm commitment, unlike a best efforts offering where there is no guarantee.
