Practice Quiz

FINRA Series 6

Category - Series 6

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The total of a mutual fund’s front-end load, rear-end load, and 12b-1 fees may not exceed:
  1. 10.0% of the fund’s offer price.
  2. 10.0%.of the fund’s net asset value.
  3. 8.5% of the fund’s offer price.
  4. 8.5% of the average annual net assets of the fund.
Explanation
Answer: C - The total of a mutual fund’s front-end load, rear-end load, and 12b-1 fees may not exceed 8.5% of the fund’s offer price.
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