Which One of the Following Requires the Registration of Mutual

question 43

Multiple Choice

Which one of the following requires the registration of mutual funds that engage in investing and trading in securities?

• A) The Securities Act of 1933.
• B) The Securities Exchange Act of 1934.
• C) The Investment Company Act of 1940.
• D) The Foreign Corrupt Practices Act of 1977.
• E) The Sarbanes-Oxley Act of 2002.

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Definitions:

Renewal

The process of extending the term of an agreement, updating or refurbishing something, or restoring vitality to an idea, building, or system.

Marketing Expertise

This refers to the specialized knowledge and skills related to promoting and selling products or services, including strategies for market research, advertising, and consumer behavior.

Franchisee

A franchisee is an individual or company that holds the right to use a franchisor's business model and brand for a prescribed period of time, typically paying a royalty and initial fee for the right to do business under the franchisor's name and system.

Direct Ownership System

A system where assets are directly owned by individuals or entities, allowing for complete control and management of those assets.