October 1, 1990
TO: MEMBERS INTERESTED IN PUBLIC INFORMATION NO. 10-90
RE: Updated edition of Do & Don't Handbook
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Enclosed is an updated edition of The Do & Don't Handbook
for registered representatives who sell mutual funds. The changes
to the Handbook are mostly minor technical ones, except for point
#15.
The Do & Don't Handbook highlights some of the most
important NASD and SEC rules with which registered
representatives must comply when selling mutual funds. It is a
training tool and is not cleared for use as sales literature. The
Handbook is popular among wholesalers as a gift to brokers to
help establish relationships, and is also an excellent sales
training tool. Additional copies may be ordered at $.60 per copy.
Barbara Levin
Director, Sales Force Marketing and
Financial Planning Services