Free Series-7 Questions Attempt

the commentary was permissible because the stock advanced as the registered representative forecast

this is a violation because the SEC requires all information about stock prices to be publicly announced

this statement constituted a form of fraud prohibited under the Securities Exchange Act of 1934

the comment is permissible only if the representative had been registered with the SEC under the Investment Advisors Act of 1940

an income tax deduction

a retirement plan

a tax deferral plan

all of the above

a statement as to possible stabilization by the manager

the public offering price

a copy of the underwriting agreement

a statement that the SEC neither approves nor disapproves of the issue

the custodian can also be the transfer agent

the sponsor receives a management fee based on the fund’s total assets

the terms “management company” and “investment advisor” are interchangeable

the management company receives a portion of the sales load for managing the fund assets