Investment Company and Variable Contracts Products Representative Qualification Examination (IR)

325 Questions

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Question No. 1

Your client has recently heard about “principal-protected funds” and has asked your ad vice. You should tell her that:

I. the majority of principal-protected funds guarantee the investor’s initial investment, less any front-end load, even if the stock market falls.
II. it would not be a good investment if she thinks she will need the money within the next five to ten years.
III. it will beat the returns she could earn on an S&P 500 Index fund in most years.
IV. if she sells her shares at any time other than the maturity date specified, she could lose money if the price per share has fallen.
Choose the correct option from the given list.
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