This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam exam.
In this episode you will learn:
- The legal requirement to deliver a mutual fund prospectus at or before the point of solicitation.
- The critical information contained within a prospectus, such as objectives, risks, and fees.
- How different share classes and their associated expenses are disclosed to investors.
- The purpose of the Statement of Additional Information (SAI) and how it differs from the prospectus.
- Common exam traps related to prospectus delivery timing and distinguishing between the prospectus and the SAI.
For more resources visit https://open-exam-prep.com/ and connect on LinkedIn at https://linkedin.com/in/chenran818
![[Series 6] 11, Mutual Fund Prospectus and SAI](https://artwork.captivate.fm/abe4183a-4dfa-4a03-97da-92d15c5d473d/_bZUi6Yzjq6h3zQu_ZsaQB5Y.jpeg)