Series 26

AAA

Investment Companies - Introduction

This section addresses the critical functions outlined in section 2.1: General Knowledge, within the Test Series 26 study outline. Expect to see approximately 10 questions on your exam related to the topics discussed here.




While investment companies are regulated by the Investment Company Act of 1940, they are still subject to the Securities Act of 1933.



Securities Act of 1933: Definitions
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