Câu 75: SERIES-6: Investment Company and Variable Contracts Products Representative Qualification Examination (IR)

Ms. Scatty is a registered representative with a well-known family of mutual funds. When selling one of the funds, she forgets to give her buyer a prospectus. Which of the following statements is true?

1. A. Ms. Scatty can be held civilly liable under the Securities Act of 1933. — đáp án hiện tại
2. B. Ms. Scatty can be held criminally liable under the Securities Act of 1933.
3. C. Since mutual funds are not covered under the Securities Act of 1933, there is no liability in this instance.
4. D. Both A and B are true statements.