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Registration of open-end investment company shares with the SEC implies that the:

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Registration of open-end investment company shares with the SEC implies that the:

A.

shares have investment merit

B.

SEC approves the issue

C.

SEC guarantees the accuracy of the disclosures in the registration statement

D.

prospectus contains the significant facts about the issue

FINRA Series-7 View All Questions

FINRA Series-7 Summary

  • Vendor: FINRA
  • Product: Series-7
  • Update on: Jul 25, 2025
  • Questions: 400
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