Teach Me About SEC (Names Rule)

Quiz
•
Business
•
12th Grade
•
Hard
Sahana Karthik
FREE Resource
12 questions
Show all answers
1.
MULTIPLE CHOICE QUESTION
1 min • 1 pt
The Securities and Exchange Commission adopted amendments to rule 35d-1 under the...?
Investment Company Act of 1940
New York Stock Exchange
Rule 394
Glass-Steagall Act of 1933
2.
MULTIPLE CHOICE QUESTION
1 min • 1 pt
What is the purpose of the Names Rule?
To prevent companies from stealing names.
To prevent fund names from misrepresenting the fund's investment and risks.
To call for the separation of commercial banking.
To create names for companies.
3.
MULTIPLE CHOICE QUESTION
1 min • 1 pt
When did the SEC adopt the Names Rule?
1949
2014
2001
2000
4.
MULTIPLE SELECT QUESTION
1 min • 1 pt
What are the current requirements for a fund to invest in according to the Names Rule?
Invest in accordance with its 80% investment policy.
It will prohibit a registered closed-end fund.
I have no clue!
The investment should apply at the time a fund invests its assets.
5.
MULTIPLE CHOICE QUESTION
1 min • 1 pt
How long will the rule amendments become effective?
3 years
5 weeks
2 months
60 days
6.
MULTIPLE SELECT QUESTION
1 min • 1 pt
How are they modernizing the notice requirement?
To expressly address funds that use electronic delivery methods.
Help ensure investors can vote.
60 days notice must be provided
Amendements will require funds with derivatives.
7.
MULTIPLE CHOICE QUESTION
1 min • 1 pt
True or False: The amendments for the Names Rule will better serve the Commision's Mission of Investor Protection.
True
False
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