Series 65: 3.1.4.1 Shareholder Voting Rights

Taken from our Series 65 Online Guide

3.1.4.1  Shareholder Voting Rights

As shareholders, account owners are entitled to vote on matters of material importance. A majority vote of outstanding shares is required if an investment company wishes to:

Change its investment objectives

Approve or change its investment adviser or manager

Ratify its independent auditors

Change its fee structure, including its 12b-1 fee

Since you're reading about Series 65: 3.1.4.1 Shareholder Voting Rights, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 65
Please Enable Javascript
to view this content!