Mutual Funds: Communications with the Public-Part I

Overview     Instructor     Syllabus

1: Introduction to Course     Overview     Course Navigation     Resources     Summary 2: Anti-Fraud Rules     Objectives     Regulators     SEC Rule 156     NASD Rule 2210 3: Advertisements, Sales Literature, and Correspondence     Objective     Advertisements and Sales Literature     Correspondence 4: Advertising Fund Performance     Objectives     Prospectus Delivery     Performance Ads     Non-Standardized Returns     Narrative Disclosure     Advertising Unusual Performance     Fund Mergers 5: After-Tax Returns and Yields     Objectives     After-Tax Returns     Advertising After-Tax Returns     Advertising Yields Exam 1     Introduction 6: Generic Ads and Supplemental Sales Literature     Objectives     SEC Rule 135a     Supplemental Sales Literature 7: Websites, Hyperlinks, and Banner Ads     Objectives     Electronic Communications     Websites     Disclosure Statements     Hyperlinking Within a Site     Hyperlinking to Third-Party Sites     Banner Ads 8: Specific Standards of NASD Rule 2210     Objective     NASD Rule 2210     Testimonials     Comparisons     Company Names     Promises and Predictions     Periodic Investment Plans     References to Regulatory Organizations     Information Sources     References to Tax-Deferred and Tax-Free 9: FINRA Review and Recordkeeping Requirements     Objectives     FINRA Reviews     Electronic Media     529 Plan Ads     Resubmitting Materials     Filing Not Required     Correspondence     Recordkeeping Final Exam     Introduction Course Evaluation     Evaluation