Mutual Funds

Section 9 — Ineligibility of Certain Affiliated Persons and Underwriters

It shall be unlawful for any of the following persons to serve or act in the capacity of employee, officer, director, member of an advisory board, investment adviser, or depositor of any registered investment company, or principal underwriter for any registered open-end company, registered unit investment trust, or registered face-amount certificate company

RCW Staff -

August 13 2014

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