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What examination would be required to trade unit investment trusts and closed-end funds?

April 26, 2017closed-end funds Investment Trade trusts

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What examination would be required to trade unit investment trusts and closed-end funds?

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8. To trade unit investment trusts or closed-end funds on the initial offering, a candidate must pass either the Series 6 or 7. Only Series 7 qualifies a representative to trade those securities in the secondary market.