BD- FINRA Mutual Fund Breakpoints Checklist Template

The FINRA Mutual Fund Breakpoints Checklist Template serves as a valuable guide in gathering the information necessary to deliver breakpoint discounts on eligible transactions. This Checklist is provided as a "guideline," which users may wish to tailor to reflect the rules of the mutual funds that they sell, their business models, or their record keeping systems. Thus, users may want to edit this document to reflect the specific rules of the mutual funds that they sell by including definitions of the term "related parties" or by asking for current value or historical cost, depending upon the rules of the mutual fund.  Members also downloaded FINRA Mutual Fund Breakpoints Worksheet Template.

Version/Update: V.U/November 2003

Total Page Count/Format: 2/.pdf

Source/Author(s): FINRA