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Mutual Fund Sales Practices, 2017 ed. (Securities Law Handbook Series)

Product details:

Format: Book - softbound
Brand: Thomson West
Copyright: 2017
Service #: 40866409
Sub #: 40866410
Pages: 924
Shelf Space: 1 in.
Publication frequency: As needed
Update method: No updating

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Mutual Fund Sales Practices, 2017 ed. (Securities Law Handbook Series)

104694164

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Mutual Fund Sales Practices provides a practical guide for broker-dealers and others who sell mutual funds that will help them handle the day-to-day regulatory requirements in this highly regulated industry. The book's easy-to-use approach explains the extensive and complex regulatory requirements applicable to those who sell mutual funds. It is organized around the key areas that practitioners deal with on a regular basis, including:

  • Qualification and registration of personnel
  • Account agreements
  • Advertising and other communications
  • Sales practices
  • Compensation issues
  • Supervision
  • A variety of requirements applicable to selling particular types of funds (e.g., variable insurance products, municipal fund securities, and closed-end funds)

The text discusses and analyzes the suitability requirement, which requires brokers to recommend only securities that are suitable. It provides and analyzes the rules and guidance developed by the Financial Industry Regulatory Authority (FINRA), covers the rules and enforcement actions of FINRA and the Securities and Exchange Commission for dealing with inadequate supervision.