Practice Quiz

FINRA Series 6

Category - Series 6

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Which of the following is not required to be included in a management company’s prospectus?
  1. the various fees charged by the company
  2. the potential risks to which the company’s investors are exposed
  3. a statement of the investment objective of the company
  4. the financial statements of the company
Explanation
Answer: D - The financial statements of the investment company are not required to be included in a management company’s prospectus. Management companies, otherwise known as closed-end or open-end investment companies, are required to have a “statement of additional information,” however, that would include the financial statements of the company.
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