Series 66: 3.1.4.1 Shareholder Voting Rights

Taken from our Series 66 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

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