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Mutual Funds
MUTUAL FUND BREAKPOINTS
Overview
Mutual funds with front-end sales loads generally offer investors lower charges if investors make a large purchase or if they intend to purchase an agreed-to dollar amount over a specific time period. Read more...
Updates
Position Paper: Mutual-Fund Fee Disclosure- pdf 5.0
SIA Applauds New SEC Rules On Breakpoint Disclosures, Code Of Ethics For Investment Advisers - May 26, 2004
SIA White Paper: Mutual Fund Distribution and Shareholder Servicing Practices - pdf 5.0, May 10, 2004
ICI Encourages Its Members To Assist Broker-Dealers To Obtain Customer Addresses And Provides Firms With Instructions And Fund Contact Information
SIA Comments To The SEC Regarding Disclosure Of Breakpoint Discounts By Mutual Funds - pdf 5.0, February 13, 2004
NASD Denies SIA Request For 60-Day Extension Of Breakpoint Deadlines, But Issues Extension Of Deadline To February 17, 2004 For Member Firms To Send Written Notification To Customers Whose Only Purchases At The Firm Were At Net Asset Value - pdf 5.0, January 7, 2004
NASD has posted on its website a Refund Notification Letter Template which firms may send to customers whose only purchases of front-end load mutual funds through the firm were purchased at Net Asset Value - pdf 5.0, January 5, 2004
Mutual Fund Breakpoints Fact Sheet - pdf 5.0, 2003
