FundPOINT® Research

Current and historical mutual fund, variable annuity and ETF documents

When FINRA calls, it’s essential to have the prospectus from the original trade date to prove you complied with the correct breakpoints and NAV transfer rules, applied the appropriate fees and met other mutual fund rules and requirements.

But what if the trade date was 5, 10 or even 15 years ago?

Chances are you won’t have the old prospectus on hand nor will you have the time and resources to track it down and ensure that it’s correct.

Broadridge FundPOINT® Research makes accessing historical information easy

Broadridge FundPOINT Research is a web-based lookup tool that provides access to current and historical mutual fund, variable product and ETF compliance documents. FundPOINT Research helps you navigate through source documents to more easily manage regulatory reviews and trade reconciliations.

Powered by proprietary technology and EDGAR-sourced data

FundPOINT Research uses the same patented process technology and proprietary database used by Broadridge's Prospectus Express®, the industry's first electronic repository service for fund prospectuses, supplements, and shareholder reports currently used by many financial service leaders. Because fund documents are parsed, sorted, and indexed into fund-specific "compliance envelopes," your firm has ready access to the latest SEC filings and historical documents represented down to the share class level. The library is so intelligent, you can even input an old fund name or CUSIP and you will be brought to the correct electronic compliance envelope showing all document filings before and after the fund merge or renaming.

Simplified search capabilities pinpoint information fast

Searching by fund family yields a complete list of all funds filed on the SEC's EDGAR database, enabling you to pinpoint which fund you wish to research. Summary information categorizes all related funds by CUSIP, ticker symbol, fund name, individual share class, former name, inception date, and issuing company. You not only are able to access information fast, you can also quickly find key information with flexible search filters such as “load tables”, “NAV purchase options”, “ROA/LOI rules” and “Reinstatement Privileges rules”.

Coverage

With information sourced directly from SEC's EDGAR database, FundPOINT Research is designed to be a complete source of information, including:

  • Fund Prospectuses
  • Statements of Additional Information
  • Semi-Annual and Annual Reports
  • Supplements and Amendments (e.g., stickers)

Benefits

  • Improves efficiency with a simple, single-source research tool
  • Enables concurrent searches by multiple users
  • Reduces compliance risk by applying a patented document management process that provides 100% fund coverage
  • Eliminates paper by providing efficient online viewing of disclosure documents by relevant trade date
  • Helps to ensure competent research because information is EDGAR-sourced and accessible on the web


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A web-based lookup tool that provides access to current and historical mutual fund, variable annuity and ETF documents...

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Accessing historical 'trade-date" prospectuses from 5, 10 or more years ago doesn't have to be daunting.

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