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Series 6

Unit 2 Section 4

QuestionAnswer
Board of Directors Individuals elected by stockholders to establish corporate management policies. A board of directors decides, among other issues, if and when dividends will be paid to stockholders.
Underwriter An investment by which investment bankers channel investment capital from investors to corporations and municipalities that are issuing securities.
Transfer Agent Person or corporation responsible for recording the names and holding of registered security owners, seeing that certificates are signed by the appropriate corporate officers, affixing the corporate seal, and delivering securities to the new owners.
Custodian An inst or a person responsible for making all invesmt, management, and distribution decisions in an account maintained in the best interest of another. Mutual funds have custodians responsible for safeguarding certificates and performing clerical duties.
Investment Adviser 1)Person who makes invmt rec in return for a flat fee or a % of assets managed.2)For an invmt co, the person who bears the day to day resp of investing the cash and sec held in the fund's port in accordance with objectives stated in the funds prospectus.
Noninterested Person Only connected with the investment company in their capacity as director. They are not connected with the invstment company's investment advisor, transfer agent or custodian bank. 40% of the BOD must be noninterested persons.
Created by: ericjrolon
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