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Investment Company Institute Standardized Data Reporting Working Group Rule 22c2 Sample Mutual Fund Agreement Package for Intermediaries March 13, 2006, Overview Rule 22c2 Sample Mutual Fund Agreement

How to fill out rule 22c-2 sample communication

How to fill out rule 22c-2 sample communication:

1. Start by familiarizing yourself with the requirements of rule 22c-2. This rule governs mutual fund transactions and requires funds and intermediaries to communicate information on the timing of shareholder purchases or redemptions.
2. Gather all the necessary information for the sample communication. This includes details such as the fund name, date of transaction, type of transaction (purchase or redemption), account number, and the amount or number of shares involved.
3. Begin the sample communication by addressing the recipient. This is typically the intermediary, such as a broker-dealer or financial advisor, who is responsible for executing the transaction.
4. Clearly state the purpose of the communication, which is to provide information on the timing of the transaction in accordance with rule 22c-2.
5. Include all the required information in the communication. This typically includes the date and time the order was received, executed, and confirmed, as well as any applicable pricing or NAV information.
6. Provide any additional details or explanations that may be necessary, such as if the transaction was subject to a contingent deferred sales charge or if there were any delays or issues in executing the order.
7. Sign and date the sample communication. This ensures proper documentation and accountability.

Who needs rule 22c-2 sample communication:

1. Fund companies or mutual fund sponsors who adhere to rule 22c-2 need sample communication as a means of complying with the requirements of the rule.
2. Intermediaries, such as broker-dealers, financial advisors, or other entities involved in mutual fund transactions, also need rule 22c-2 sample communication as a way to accurately communicate the timing of shareholder purchases or redemptions to the appropriate parties.
3. Regulators and compliance officers who oversee mutual fund transactions may also require rule 22c-2 sample communication as part of their monitoring and enforcement efforts to ensure adherence to the rule.

In summary, filling out a rule 22c-2 sample communication requires understanding the requirements of the rule, gathering the necessary transaction details, and providing all the required information in a clear and concise manner. Both fund companies and intermediaries involved in mutual fund transactions need rule 22c-2 sample communication to comply with the regulations and accurately communicate transaction timing.

For pdfFiller’s FAQs

What is rule 22c-2 sample communication?

Rule 22c-2 sample communication is a regulation that requires mutual fund companies to report details of any trades that occur after the cutoff time for receiving orders, but are priced as if they had been received before the cutoff.

Who is required to file rule 22c-2 sample communication?

Mutual fund companies are required to file rule 22c-2 sample communication.

How to fill out rule 22c-2 sample communication?

Rule 22c-2 sample communication can be filled out by providing details of any trades that fall under the regulation, including the date, time, and pricing of the trades.

What is the purpose of rule 22c-2 sample communication?

The purpose of rule 22c-2 sample communication is to prevent market timing and late trading in mutual funds.

What information must be reported on rule 22c-2 sample communication?

Information such as the date, time, and pricing of trades that occur after the cutoff time for receiving orders.

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