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

1: Introduction to Course
   Topic Overview
   Topic Course Navigation
   Topic Resources
   Topic Summary
2: Rankings and Ratings
   Topic Objectives
   Topic Rankings and Ratings
   Topic Ranking Entities
   Topic Ranking Categories
   Topic Symbols and Periods
   Topic Yield Rankings
   Topic Information Requirements
3: Newsletters and Independently Prepared Reprints
   Topic Objectives
   Topic Newsletters
   Topic Independently Prepared Reprints
4: Public Appearances
   Topic Objectives
   Topic Public Appearances
   Topic Monitoring Public Appearances
   Topic Reviews by FINRA
5: Selling Mutual Funds Through Financial Institutions
   Topic Objectives
   Topic Regulators
   Topic Key Disclosures
   Topic Broker-Dealer Activities
Exam 1
   Topic Introduction
6: Dealer Information Only & Institutional Sales Material
   Topic Objectives
   Topic Dealer Information Only
   Topic Institutional Sales Material
   Topic NASD Rule 2211
7: Miscellaneous Communication Issues
   Topic Objectives
   Topic Performance Graphs
   Topic Investment Analysis Tools
   Topic Privacy Notices
   Topic Automated Telephone Systems
   Topic Foreign Language Communications
   Topic Novelty Items
8: Electronic Delivery Obligations
   Topic Objective
   Topic E-SIGN
   Topic Consent
   Topic Comparability
   Topic Evidence
   Topic Notice
   Topic Accessibility
9: Mutual Fund Names
   Topic Objectives
   Topic SEC Rule 35d-1
   Topic Geographic Focus
   Topic Tax-Exempt Funds
   Topic Market Capitalization
   Topic Dollar-Weighted Maturity
   Topic High Yield
   Topic Guaranteed or Insured
   Topic Government-Sponsored Entities
   Topic Investment Strategies
Final Exam
   Topic Introduction
Course Evaluation
   Topic Evaluation