Series 99: Exercise

Exercise

Match the following with its filing requirement.

1. A. Does not require prior filing
2. B. 10 business days prior to first use
3. C. Within 10 business days of first use
4. 1. ___ Investment companies
5. 2. ___ Bond mutual funds with volatility ratings
6. 3. ___ CMOs
7. 4. ___ Correspondence
8. 5. ___ DPPs
9. 6. ___ Institutional communications
10. 7. ___ Investment companies with performance ratings/rankings
11. 8. ___ Security futures

Answers: 1. C; 2. B; 3. C; 4. A; 5. C; 6. A; 7. B; 8. B