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FINRA Series 7

Category - Series 7

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Which of the following organizations usually has a prominent role in guiding investment policies of mutual funds?

the plan company
the management group
the custodian bank
the underwriter

Explanation

Answer: B - the management group. The management group is actually comprised of the management company (including the underwriter) and the investment advisor.

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FINRA Series 7

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FINRA Series 7

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