[SIE] 32, Closed-End Funds and UITs

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam. In this episode you will learn: - The difference between a closed-end fund's IPO and its secondary market trading. - Why closed-end funds can trade at a premium or discount to their Net Asset Value (NAV). - How to calculate the price an investor pays for a closed-end fund on an exchange. - The defining features of a Unit Investment Trust (UIT), including its fixed portfolio. - How a UIT's termination date and lack of active management distinguish it from other investment companies. For more resources visit https://open-exam-prep.com/ and connect on LinkedIn at https://linkedin.com/in/chenran818

Episode metadata supplied by the publisher feed · Published Jan 9, 2026

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[SIE] 32, Closed-End Funds and UITs

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