Term
| The fund or its Principal Underwriter |
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Definition
| The ex dividend date for a mutual fund is set by who? |
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Term
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Definition
How is an exchange of shares in the same fund family treated for tax purposes?
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Term
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Definition
| Is there a secondary market for open end mutual fund shares? |
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Term
Secondary market(otc) or they are listed on exchanges.
Not redeemable. |
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Definition
Where are closed end funds traded?
Are they redeemable or not? |
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Term
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Definition
| What is another name for Net Asset Volume (NAV)? |
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Term
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Definition
| What is another name for offering price? |
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Term
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Definition
| When are the NAV and the ask price one and the same? |
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Term
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Definition
| Owners of this may have a fractional interest in the undivided whole? |
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Term
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Definition
| How long must you keep customer account records for? |
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Term
| 529 college savings plans |
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Definition
| Contributions to this are not tax deductible but earnings grow tax deferred and qualified distributions are tax free. |
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Term
| An equity indexed annuity |
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Definition
| What annuity has a minimum guaranteed rate of return as well as a maximum rate of return based on a stock index? |
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Term
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Definition
| What retirement plan offers immediate vesting of employer contributions? |
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Term
| New account form, a copy of the corporate charter and a corporation resolution from the board of directors. |
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Definition
| What is needed to open a new account for a corporation? |
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Term
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Definition
| You'll receive a mutual fund dividend if you own shares on the? |
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Term
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Definition
| What can an omitting prospectus not include? |
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Term
| Trade practice complaints |
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Definition
| Code of Procedure governs what? |
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Term
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Definition
| What provides the best overall hedge against inflation and deflation? |
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Term
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Definition
| This would provide the beneficiary with the proceeds that were left over from the contract holders account. |
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