Question
For a dealing representative who wants to sell mutual funds, an applicant usually needs to deal with only one regulator, regardless of whether they are
For a dealing representative who wants to sell mutual funds, an applicant usually needs to deal with only one regulator, regardless of whether they are registered in multiple jurisdictions.
What is this process called?
A.A transfer from one dealer to another.
B.The passport system.
C.The Investment Industry Regulatory Organization of Canada (IIROC).
D.A mobility exemption.
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Fundamentals Of Financial Management
Authors: James Van Horne, John Wachowicz
13th Revised Edition
978-0273713630, 273713639
