Guidance GuidanceTargeted Examination Letter on Rights of Reinstatement (RoR)November 11, 2020 2018 Exam Findings ReportSuitability for Retail CustomersDecember 07, 2018 2017 Exam Findings ReportProduct SuitabilityDecember 06, 2017 GuidanceTargeted Examination Letter on Mutual Fund WaiversMay 16, 2016 NoticeRegulatory Notice 08-58October 17, 2008 Report / StudyReport of the Mutual Fund Task Force: Mutual Fund DistributionMarch 29, 2005 Report / StudyReport of the Mutual Fund Task Force: Soft Dollars and Portfolio Transaction CostsNovember 11, 2004 Report / StudyReport of the Omnibus Account Task ForceJanuary 30, 2004 GuidanceStatus Report: Implementation of Recommendations of Joint NASD/Industry Breakpoint Task ForceJuly 22, 2003 Report / StudyReport of the Joint NASD/Industry Task Force on BreakpointsJuly 12, 2003 TrainingBreakpoints Training Outline Compliance ToolsTask Force Recommendations for New Confirmation Content FAQMutual Fund Breakpoint Assessment Q&A Compliance ToolsCustomer Letters About Breakpoint Refunds Compliance ToolsBreakpoints Written Disclosure Document GuidanceCommon Definitions Mutual Funds Should Use to Describe Breakpoint Discount Rules Compliance ToolsBreakpoints Checklist & Worksheet
