Series 65: Exercise

Taken from our Series 65 Online Guide

Exercise

Fill in the Blanks

  1. 1. A UIT sells units of securities also known as ___.
  2. 2. The most well-known ETF is the Standard & Poor’s ___.
  3. 3. The investment portfolios held by ETFs and other UITs are not actively managed, so the investor will have no ___.
  4. 4. Non-traditional ETFs use ___ to generate profits.
  5. 5. What is both an advantage and a disadvantage of investing in a UIT? The portfolio ___.
  6. 6. UIT units must be sold with ___.
  7. 7. ETFs do not have a front- or back-end sales charge, but the investor will have to pay ___.
  8. 8. ETFs track an index, but imperfectly due to cash held, fund fees, and how liquid an asset or a market is; thus, a

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