Q: 8
Ai Fen has recently become registered to sell mutual funds with Acadian Eastern Financial, a mutual
fund dealer. Ai Fen determined that with her background of being a Chartered Financial Analyst, she
can help people understand the nature of investing more easily than others in her field.
Which registration category will need to be prominently noted on Ai Fen’s business card to comply
with the “holding out rule”?
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