September 14, 1993
TO: SALES FORCE MARKETING COMMITTEE NO. 46-93
RE: UPDATED BROKER COMPLIANCE HANDBOOK
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Enclosed is an updated version of the DO & DON’T Handbook that addresses the new
NASD rule governing asset-based and other investment company sales charges. It
also includes the entire revision of Article III, Section 26(d) of the NASD Rules
of Fair Practice in its appendix. For busy registered representatives, this 10-
page (plus 14-page appendix) booklet highlights the key points for complying with
SEC and NASD rules and regulations. Illustrated with cartoons, it is easy but
essential reading. This may be a good opportunity for you to help your
distributors comply with the new rules.
Additional copies are available at 60 cents each, with multiple copies available
at 55 cents each (100-999 copies) or 50 cents each (1000+ copies). Please use
the enclosed order form for orders. Your firm’s name and logo may be imprinted
on the back of this brochure. Call Elizabeth Velte at (202) 955-8417 for more
information about our printing service.
Please call me at (202) 955-3540 with any questions or comments.
Barbara Levin
Director - Sales Force Marketing
and Financial Planning Services
Enclosure