Series 14: 4.1.3.4. Mutual Fund Brokers

Taken from our Series 14 Online Guide

4.1.3.4. Mutual Fund Brokers

If a firm only deals in mutual funds and sells on a subscription basis only, the minimum net capital requirement is $5,000. A broker that sells on subscription does not accept customer

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Series 14: 4.1.3.4. Mutual Fund Brokers

Taken from our Series 14 Online Guide

4.1.3.4. Mutual Fund Brokers

Since you're reading about Series 14: 4.1.3.4. Mutual Fund Brokers, you might also be interested in:

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