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Question 1: When selling shares in a closed-end investment company, an agent must inform the client of
any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses
A. I, II and III
B. I only
C. I and II only
D. I and III only
Correct Answer: A
Explanation: When selling shares in a closed-end investment company, an agent must inform the
client of
any commissions, underwriting fees, or miscellaneous other offering expenses involved.
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10 days ago

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