Series 7: Exercise

Taken from our Series 7 Top-off Online Guide

Exercise

Match the following with its filing requirement.

  1. A. Does not require prior filing
  2. B. 10 business days prior to first use
  3. C. Within 10 business days of first use
  4. 1. _____ Investment companies
  5. 2. _____ Bond mutual funds with volatility ratings
  6. 3. _____ CMOs
  7. 4. _____ Correspondence
  8. 5. _____ DPPs
  9. 6. _____ Institutional communications
  10. 7. _____ Investment companies with performance ratings/rankings
  11. 8. _____ Security futures and options
  12. 9. _____ Retail communication fro

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