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FINRA Series 6

Category - Series 6

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Which of the following would be required to register as an investment company?

I. a non-diversified management company
II. a unit investment trust
III. a face-amount certificate company

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

Explanation

Answer: A - All three choices must register as an investment company since all meet the definition of an investment company under the Investment Company Act of 1940. A management company refers to either a closed-end or an open-end investment company, both of which must register, regardless of the diversification of their investments.

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FINRA Series 6

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FINRA Series 6

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