Guidance

Guidance
Targeted Examination Letter on Rights of Reinstatement (RoR)
November 11, 2020
2018 Exam Findings Report
Suitability for Retail Customers
December 07, 2018
2017 Exam Findings Report
Product Suitability
December 06, 2017
Guidance
Targeted Examination Letter on Mutual Fund Waivers
May 16, 2016
Notice
Regulatory Notice 08-58
October 17, 2008
Report / Study
Report of the Mutual Fund Task Force: Mutual Fund Distribution
March 29, 2005
Report / Study
Report of the Mutual Fund Task Force: Soft Dollars and Portfolio Transaction Costs
November 11, 2004
Report / Study
Report of the Omnibus Account Task Force
January 30, 2004
Guidance
Status Report: Implementation of Recommendations of Joint NASD/Industry Breakpoint Task Force
July 22, 2003
Report / Study
Report of the Joint NASD/Industry Task Force on Breakpoints
July 12, 2003
Training
Breakpoints Training Outline
Compliance Tools
Task Force Recommendations for New Confirmation Content
FAQ
Mutual Fund Breakpoint Assessment Q&A
Compliance Tools
Customer Letters About Breakpoint Refunds
Compliance Tools
Breakpoints Written Disclosure Document
Guidance
Common Definitions Mutual Funds Should Use to Describe Breakpoint Discount Rules
Compliance Tools
Breakpoints Checklist & Worksheet