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Exam Series 6 All Questions

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Exam Series 6 topic 1 question 100 discussion

Actual exam question from FINRA's Series 6
Question #: 100
Topic #: 1
[All Series 6 Questions]

Under the Investment Company Act of 1940, an investment company is:

  • A. required to register with the SEC.
  • B. any company that holds investment securities that have a value that is greater than 40% of the company’s total assets.
  • C. any issuer whose primary business involves investing, reinvesting, or trading in securities.
  • D. All of the above accurately describe an investment company as defined by the Investment Company Act of 1940.
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Suggested Answer: D 🗳️
All of the choices accurately describe an investment company as defined by the Investment Company Act of 1940.
by lolojepu at April 6, 2025, 1:16 a.m.

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