FINRA Series 63 (NASAA)

Category - Series 63

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When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses

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

Explanation

Answer: A - When selling shares in a closed-end investment company, an agent must inform the client of any commissions, underwriting fees, or miscellaneous other offering expenses involved.

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FINRA Series 63 (NASAA)

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FINRA Series 63 (NASAA)

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