Series 26: Part C: Other Information

Taken from our Series 26 Online Guide

Part C: Other Information

Part C is largely documentation. It includes the company’s articles of incorporation and bylaws, underwriting and investment adviser contracts, custodian agreements, legal opinion, additional financial statements, and its code of ethics. This information is made publicly available by the SEC.

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Solomon Exam Prep Study Materials for the Series 26
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Investment Company Registration Forms

Part A: Information Required in a Prospectus

  • Investment objectives and risks
  • Investment strategies
  • Investment adviser and portfolio manager IDs
  • Financial structure and performance
  • Pricing procedure and fee structure
  • Breakpoints
  • Summary pages (if registering new issue)
  • Provided to purchasers at time of sale

Part B: Statement of Additional Information

  • Directors’ and officers’ IDs, experience, and pay
  • History of fund
  • Financial statements
  • Dividend and voting rights
  • Liquidation rights and redemption provisions
  • Offering price methodology
  • Provided to purchasers upon request