SIE Exam Prep Open End versus Closed End. Series 6 Exam, Series 7 Exam, Series 65/66 Exams too!
Автор: Series 7 Guru
Загружено: 2022-02-25
Просмотров: 14255
• Series 7 Exam Prep Mutual Funds, REITs, ET... here is the link to the full lecture on mutual funds, ETFs, and ETNs
Time stamps:
00:00 Intro
Open End fund is open for additional investments through the issuance of new shares
1:39 Primary market
2:35 '40 and '33
3:35 Redemption
3:55 Forward pricing
4:44 One class of equity
5:40 8.5% maximum sales charge
5:45 NAV + Sales charge = POP
6:25 DREP ex date is one day after record date
6:51 No selling dividends'
7:25 No breakpoint sales
Closed End fund is closed to additional investment through issuance of new shares.
7:50 Secondary market
8:33 Shares sold NOT redeemed
9:06 May issue preferred stock and bonds
10:30 Selling less than the NAV must be closed end or selling at more than 8.5% must be closed end
11:10 DERP
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