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According to Federal Regulations, the SEC would have to issue an exemptive order before a mutual fund may
[A] Adopt a 12b-1 plan.
[B] Change its investment objectives
[C] Employ as an investment adviser a person who has been convicted within the past 10 years of a crime involving the securities business.
[D] Do any of the above

Respuesta :

agustinsr99

Answer: The correct answer is "[C] Employ as an investment adviser a person who has been convicted within the past 10 years of a crime involving the securities business.".

Explanation: According to Federal Regulations, the SEC would have to issue an exemptive order before a mutual fund may employ as an investment adviser a person who has been convicted within the past 10 years of a crime involving the securities business.

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