Sản phẩm & Rủi roCâu 117 / 398
Under FINRA rules, the maximum sales charge on the purchase of open-end mutual fund shares generally may not exceed:
a.5.0% of NAV
b.6.25% of the offering price
c.7.0% of NAV
d.8.5% of the offering price
Giải thích
FINRA limits the maximum sales charge on mutual fund shares to 8.5% of the public offering price. To charge the full 8.5%, a fund must offer certain shareholder benefits such as breakpoints, rights of accumulation, and dividend reinvestment at NAV; otherwise the maximum is lower.
Trích dẫn luật: FINRA Rule 2341Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- An investor is concerned that rising interest rates will reduce the value of a fund's holdings. This concern is most relevant to which fund?
- A sector fund that invests almost entirely in technology companies primarily exposes investors to:
- An index fund is designed to:
- When an investor redeems open-end mutual fund shares, the fund must generally send payment within:
- Rights of accumulation allow a mutual fund investor to:
- When a customer purchases newly issued open-end mutual fund shares, the customer must be provided:
Cập nhật gần nhất: · quy trình kiểm tra
Đội Ngũ Biên Tập PrepPass · Đối chiếu với FINRA Securities Industry Essentials (SIE) Exam · Quy trình kiểm tra