The Type of Abusive Activity That Involves Cases Where Investors

question 66

Multiple Choice

The type of abusive activity that involves cases where investors were able to buy or sell mutual fund shares long after the price had been set each day is

• A)market timing.
• B)late trading.
• C)directed brokerage.
• D)improper fee assessment.
• E)None of the options.

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Definitions:

Breach of Contract

Not adhering to any provision of a contract, both in written form or orally, without a legal rationale.

Invitation to Do Business

An offer or solicitation made by a business seeking to engage with potential clients or customers.

Final Offer

The last proposal or statement of conditions one party will accept during negotiations.

Negotiating

The process of discussing terms and conditions in order to reach a mutual agreement.