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FINRA Series 7

Category - Series 7

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Approval for a registered investment company to change is investment objective from income to growth is required from which of the following?

the FINRA
the SEC
a majority of the shareholders
all of the above

Explanation

Answer: C - a majority of the shareholders. Any factors that materially affect the interests of shareholders must be approved by a majority vote of the shareholders.

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FINRA Series 7

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FINRA Series 7

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