October 6, 1995
TO: DIRECT MARKETING COMMITTEE No. 44-95
MARKETING POLICY COMMITTEE No. 49-95
MEMBERS - ONE PER COMPLEX No. 88-95
MEMBERS INTERESTED IN PUBLIC INFORMATION No. 8-95
PUBLIC INFORMATION COMMITTEE No. 37-95
RESEARCH COMMITTEE No. 39-95
SALES FORCE MARKETING COMMITTEE No. 48-95
SHAREHOLDER COMMUNICATIONS COMMITTEE No. 39-95
SMALL FUNDS COMMITTEE No. 17-95
RE: UPDATED MARKETING AND COMPLIANCE MATERIALS
______________________________________________________________________________
Enclosed are updated copies of two popular Institute publications: Why Mutual Funds Dont Go
Broke and the Do and Dont Handbook For Registered Representatives Who Sell Mutual Funds .
The two-sided leaflet, Why Mutual Funds Dont Go Broke, provides answers to commonly asked
questions about the regulatory safeguards that protect mutual fund shareholders from being
affected by the financial misfortunes of mutual fund managers or affiliated companies.
Information specific to money market mutual funds has been added to this new version.
Why Mutual Funds Dont Go Broke is cleared for use as generic sales material by the National
Association of Securities Dealers, Inc., and NASD instructions for using the leaflet as sales
literature will be included with your order. Additional copies of the leaflet may be ordered for
30 cents each. Please use the enclosed form to place your orders.
The Do and Dont Handbook is an easy-to-read, illustrated 10-page (plus appendix that includes
portions of Article III of the NASDs Rules of Fair Practice) booklet highlighting the key points
for complying with SEC and NASD rules and regulations. It is a useful reference guide for
mutual fund salespeople, including brokers, financial planners, registered investment advisers,
bank representatives, wholesalers, sales desk managers, and registered telephone
representatives.
Additional copies of the handbook are available for 60 cents each; 55 cents each for orders of
100-999 copies; and 50 cents each for orders of 1000+ copies. Please use the enclosed form to
place your orders. If you would like your firms name, address, and logo imprinted on the back
of this brochure, please call Lisa Goodkind at the Institute at 202/326-5886.
If you have any questions about the enclosed publications, please call me at 202/326-5883.
Linda Brenner
Manager, Sales Force Marketing
and Financial Planning Services
Enclosures