Proposed Point of Sale and Confirmation Disclosure Forms
We are considering whether to require broker-dealers to disclose more information about costs and conflicts of interest to investors who purchase or sell interests in mutual funds, 529 plans, and certain other securities, such as variable annuities. We welcome your thoughts on this issue and seek your help in evaluating whether the standardized disclosure forms we've drafted will be informative and useful to investors.Originally, we drafted three new forms and asked for feedback from investors. The SEC has subsequently redesigned those forms and proposed new ones. We are very interested in your opinion and any suggestions you may have for improving these new forms. You may send us your input electronically by clicking here. Alternatively, you may mail your comments (please send us three copies) to the following address:
Nancy M. Morris, Secretary
Please be aware that all comments we receive will become part of the public record of what we considered in this matter. If you send your comments electronically, they will be posted on our website. If you send your comments in hard copy, they will be available for inspection in our Public Reference Room and they will also be scanned and posted in PDF format.
Information About Our Rule Proposal
Helpful Information About Mutual Funds