Series 65: Mutual Fund Prospectus Rules

Taken from our Series 65 Online Guide

Mutual Fund Prospectus Rules

Because mutual fund shares are issued new for each purchaser, all must be sold with a prospectus. The prospectus must be delivered prior to the point at which the customer acquires an interest in the fund, and it must be up-to-date. The SEC does not permit prospectuses that are in use for more than 9 months to have financial information in them that is more than 16 months old.

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My oldest son purchased your Solomon audio exam guide to pass his Series 7, and I did the same for the Series 65 exam at his recommendation. Although I am 62 and have been out of college for forty(40) years, I passed my Series 65 exam on my first try. This would NOT have been possible without your excellent study materials. Thank you! for the service you provide to all aspiring test takers where so much is on the line!

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David Hartzell, Cornell Capital Management, New York

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