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FINRA Series 6

Category - Series 6

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Mandatory guidelines for the prospectuses of which of the following are dictated by the Investment Company Act of 1940?

I. mutual funds
II. closed-end investment companies
III. unit investment trusts
IV. variable contracts

I and II only
II only
I, II, and III only
I, II, III, and IV

Explanation

Answer: D - Mandatory guidelines for the prospectuses of all of the selections are dictated by the Investment Company Act of 1940.

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FINRA Series 6

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