Practice Quiz

FINRA Series 6

Category - Series 6

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12b-1 fees refer to:
  1. the front-end or back-end load that a mutual fund charges.
  2. the management fees of a mutual fund.
  3. fees that some mutual funds charge to pay for certain of its marketing expenses.
  4. fees that mutual funds pay the broker-dealers that execute their trades.
Explanation
Answer: C - 12b-1 fees are fees that some mutual funds charge to pay for certain of its marketing expenses.
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