Series63 Exam Dumps | When selling shares of an investment company to a client, an agent must provide the client with I. the

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FINRA.Series63.v2023-12-18.q101
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Question 84/101

When selling shares of an investment company to a client, an agent must provide the client with
I. the fund's prospectus, which provides information on any loads or other fees as well as historical return information.
II. information about any breakpoints if it is a load fund along with an explanation of a letter of intent III. information regarding the investment adviser used by the fund IV. an explanation of the various loads and fees outlined in the fund's prospectus

A. I, II, III, and IV

B. I, II, and III only

C. I and II only

D. I, II, and IV only

Correct Answer: D

Explanation
When selling shares of an investment company to a client, the agent must provide the client with the fund's prospectus and provide the client with an explanation of the various loads and fees and any breakpoints that, if reached, will result in a lower load charge for the client, along with information on a letter of intent, which the client can execute. The agent need not provide any information regarding the investment adviser used by the fund although that information is contained in the prospectus as well.

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