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    Exam 4: Uniform Securities Act USA and State Registration Requirements
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    An Agent Cannot Tell a Client That a Mutual Fund
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An Agent Cannot Tell a Client That a Mutual Fund

Question 15

Question 15

Multiple Choice

An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees


A) I, II or III
B) I or II only
C) I only
D) I or III only

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