Open end funds - Study guides, Class notes & Summaries

Conduct and Practices Handbook (CPH) Exam 136 Questions with Answers Duty of care - CORRECT ANSWER This refers to obligation #3 of registered representative (RR) about acting honestly, in good faith, and in a professional manner. This is a requirement to provide advice to clients with those attributes in mind along with the proper skills and knowledge to do so. It is important to note that the standard of care provided is not a standard of perfection. RRs are usually held to this standard muc...

An open-end management company is a: A. Mutual fund B. Publicly traded fund C. Fixed unit investment trust D. Real estate investment trust - Answer- A. Mutual fund To impose the maximum sales charge, under FINRA rules, mutual funds must offer investors all of the following benefits EXCEPT: A. Breakpoints B. Plan Completion Insurance C. Rights of Accumulation

PNR 415 EXAM LATEST UPDATE GRADED A+ CNO Entry to Practice Competencies Conceptual framework Patient Acuity Self regulation CNO Conflict Resolution Resolution approaches Techniques Values clarification Conflict prevention and management What is mediation? Provinces decide how much money to spend on health services, where to deliver these services, where to locate hospitals, and how many doctors are needed. federal in the Yukon, Nunavut, and the Northwest Territories and of Aboriginal people...

SIE exam caril: complete study guide Q-bank answered latest spring 2023. What type of risk is unique to a specific industry, business enterprise, or investment type? - Under which of the following circumstances is an investor in a position to acquire stock? - Options- a premium - Options- strike price A customer believes that ABC's price will go up but does not have the money to buy 100 shares right now. How could the customer use options to profit from an increase in the sto...

CON 170 Fundamentals of Cost and Price Analysis MIDTERM EXAM_2023. 1. Which of the following statements most closely summarizes government pricing objectives? b. Acquire goods and services from responsible sources at fair and reasonable prices. 2. As a contract specialist, you should be aware that: a) Different sellers in the same market may have different pricing objectives and approaches. b) Sellers in different markets often have different approaches to contract pricing. c) A single fir...

A customer purchased a premium bond which gives the issuer the ability to redeem the entire issue prior to maturity. Which yield is the MOST relevant? correct answers Yield-to-call What's the benefit of owning a variable annuity? correct answers A variety of investment choices A fund which invests in companies that pay high dividends is: correct answers Equity income fund In what way are mutual funds and REITs similar? correct answers They are actively managed An advantage of buying...

GVPT 282 Midterm Latest 2023 Asian Infrastructure Investment Bank (AIIB) The AIIB is a financial institution focused on multilateral development in the Asia-Pacific region. This bank, with its 17-founding member and other joiners, competes with the IFIs established under the Bretton Woods System, mainly the World Bank and IMF. As a result, it threatens U.S.'s power to advance its foreign policy through conditionality for loans. Instead, IFIs may not compete, and this competition allows developi...

In a corporate liquidation, the last to get paid is: A. Unpaid wages and taxes B. Bondholders C. Preferred stockholders D. Common stockholders - Answer- D. Common stockholders All of the following are types of oil and gas direct participation programs EXCEPT: A. Balanced B. Income C. Exploratory D. Developmental - Answer- A. Balanced The term "publicly traded fund" is the common name for a(n): A. open end management company B. closed end management company C. fixed uni...

RSC2601 – Research in Social Sciences 1 RSC2601 - Research in the Social Sciences EXAM PREPARATION This document is a compilation of past UNISA exam Questions and Answers, Assignment Questions and Answers, as well as Test Yourself Questions and Answers from Studyguide. Answers are motivated by a combination of: • Page references to the UNISA Study Guide: • Short summaries regarding the relevant topic(s) in question. Past exams covered are: • May/Jun 2011 • Oct/Nov...

What is a closed-end mutual fund? What is an open-end mutual fund? - Closed- shares issued by an investment company only when fund is organized Open- shares issued and redeemed by the investment company at the request of investors What is the net asset value? When is the net asset value calculates? - value of a mutual fund / at the end of every day What is a load fund? What is a no-load fund? - Load- a mutual fund where investors pay commission every time they buy shares No-load- individ...