Guidance

Guidance
Targeted Examination Letter on Rights of Reinstatement (RoR)
November 11, 2020
Targeted Examination Letter
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
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
Training
Breakpoints Training Outline
Compliance Tools
Task Force Recommendations for New Confirmation Content