Series 7 Exam Prep 74, Investment Company Act and Investment Advisers Act
This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The required composition of a mutual fund's board of directors under the Investment Company Act of 1940. - The rules and restrictions surrounding transactions with affiliated persons of an investment company. - The key components and approval process for an…
The skinny
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