Series 6: 5.1.4.4. Mutual Fund Prospectus Rules

Taken from our Series 6 Top-off Online Guide

5.1.4.4. Mutual Fund Prospectus Rules

Because mutual fund shares are issued new for each purchaser, all must be sold with a prospectus. The prospectus must be delivered prior to the point at which the customer acquires an interest in the fund, and it must be up-to-date. The SEC does not permit pros

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