Mutual Funds: Communications with the Public-Part I
Overview     Instructor     Syllabus        

The Investment Company Institute's Mutual Funds: Communications with the Public is a two-part course designed to help you to understand the rules and regulations governing a mutual fund’s communications with the public. The course is designed for employees of mutual fund organizations, banks, broker/dealers, service providers to the fund industry, and others who want to gain an understanding of mutual fund communications and advertising regulations.

Course Length (Part I): 2-3 hours

Course Workbook: $15

To order a workbook for Mutual Funds: Communications with the Public, Part I, simply send an email to icitraining@ici.org or call 202/218-3575.

OBJECTIVE

Upon completion of Part I of Mutual Funds: Communications with the Public, you will be able to:

  1. Explain the anti-fraud and conduct rules of the federal securities laws
  2. Differentiate mutual fund advertisements, sales literature, and correspondence
  3. Comply with the prospectus delivery requirement
  4. Explain Rule 135a of the Securities Act of 1933
  5. Discuss the use of performance information, including pre-tax returns, after-tax returns and yields, in mutual fund sales material
  6. Define supplemental sales literature
  7. Explain how the advertising regulations apply to mutual fund websites, hyperlinks, and banner ads
  8. Discuss the specific standards of NASD Rule 2210
  9. Comply with FINRA’s recordkeeping and filing requirements for mutual fund advertising, sales literature, and correspondence


CATEGORY
ICI Courses
TYPE
Online
CREDIT HOURS
N/A
DESIGNATION
N/A
PRICE
$100.00