Exercise
Match the following with its filing requirement.
- A. Does not require prior filing
- B. 10 business days prior to first use
- C. Within 10 business days of first use
- 1. ___ Investment companies
- 2. ___ Bond mutual funds with volatility ratings
- 3. ___ CMOs
- 4. ___ Correspondence
- 5. ___ DPPs
- 6. ___ Institutional communications
- 7. ___ Investment companies with performance ratings/rankings
- 8. ___ Security futures
Answers: 1. C; 2. B; 3. C; 4. A; 5. C; 6. A; 7. B; 8. B