The Securities Exchange Act of 1934 Requires a Mutual Fund

question 103

True/False

The Securities Exchange Act of 1934 requires a mutual fund to file a registration statement with the SEC.

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Definitions:

Treaty

A formally negotiated and ratified agreement between or among countries.

Convention

A formal agreement between states, often a treaty, or a large meeting or conference, especially of members of a profession or a political party.

Treaty Conflicts

Situations where provisions or obligations in an international treaty conflict with either another treaty or a country's domestic laws.

Federal Statute

A law passed by the United States Congress and signed by the President or allowed to become law, which applies to the entire country.