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4 votes
Which of the following terms pertains to registration with the Administrator of a mutual fund, closed-end investment company, or unit investment trust that is registered under the Securities Act of 1933 and also registered as an investment company under the Investment Company Act of 1940?

a. Qualification
b. Prevarication
c. Coordination
d. Notice filing

asked
User Ferus
by
8.2k points

1 Answer

1 vote

Answer: Notice filing

Step-by-step explanation:

The term that pertains to registration with the Administrator of a mutual fund, closed-end investment company, or unit investment trust that is registered under the Securities Act of 1933 and also registered as an investment company under the Investment Company Act of 1940 is the notice filing.

It should be noted that federal covered securities are exempted from State registration and thereby a notice filing may be required.

answered
User Simaglei
by
8.6k points
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