Series 7: Exercise

Taken from our Series 7 Online Guide

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 and options

9. _____ Retail communication from a company in operation less than one year

Answers: 1. C; 2. B; 3. C; 4

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