Series 28: Closed-end Fund

Taken from our Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

Definition of the term Closed-end Fund ...

a management company that has a fixed capitalization and a fixed number of shares outstanding, which may be traded in the secondary market but cannot be sold back to the company.

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I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

Nikita Brown, BMI. Atlanta, GA

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