LFF166 Mutal Fund Share Class Breakpoint Disclosure

LFF166 - Mutual Fund Breakpoint Disclosure

Purpose: Regulators require that Registered Representatives provide a breakpoint disclosure letter to all clients purchasing A Share mutual funds in a commission account.
Client Name(s)
Mutual Fund Purchase Fund Name/Symbol
Purchase Amount ($)
Fund Family Balance ($)
Type of Purchase
Expected Time Horizon:
Share Class Purchased
Next Breakpoint for A Shares
If B or C share is noted above, provided DETAILED explanation of how this transaction is in the customer's best interest.
Reason for Transaction:
Rep Name

First NameLast Name
Rep Email
example@example.com
Assistant Email (Optional)
example@example.com
List Client Account Number(s)
If you are choosing to mail or hand deliver the Document Disclosures, the required documents will be emailed to you.
Document delivery method
Investor Email
example@example.com
Identify the Date you delivered the Breakpoint Disclosure Documents to the investor

MonthDayYear
Date
Investor Address (if physically mailing)

Street Address

Street Address Line 2

CityState / Province

Postal / Zip Code
Disclosure Delivery Obligations
Mutual Fund Break Point Disclosure Document
Should be Empty:

LFF166 - Mutual Fund Breakpoint Disclosure