FundPOINT® Desktop is a web-based solution that helps brokerage employees do their jobs efficiently by delivering timely, accurate mutual fund data and a dynamic Share Class Analyzer tool at the point of sale (POS).
By delivering information through a familiar web interface, FundPOINT Desktop eliminates the need to shuffle through possibly out-of-date paper prospectuses for the information. Instead, a few mouse clicks enables advisors to instantly retrieve the latest EDGAR-sourced disclosure information, such as commission structure, account minimums, Rights of Accumulation (ROA) and Letter of Intent (LOI) rules, market timing rules, commission waivers, and more.
FundPOINT Desktop provides ready access to all U.S. open-end mutual funds through a web interface that is updated daily, representing the latest fund filings on the SEC’s EDGAR database.
FINRA 02-85 Requirement
FundPOINT Desktop Support
Pending transaction amount
ROA (Rights of Accumulation)
Family account linking
Balances in other fund company products
Commission waivers, including reinstatements
LOI (Letter of Intent)
Assets held away from advisor firm
Share Class Analyzer Tool
The FundPOINT Desktop Share Class Analyzer tool helps advisors select the appropriate class of shares for mutual fund sales by providing assistance based on investor-specified investment parameters, fund limits, expense structures, Rights of Accumulation (ROA) and Letter of Intent (LOI) rules, and potential waivers. Because every investor and each fund is different, Broadridge designed Share Class Analyzer to help ensure an investor's time horizon and goals are matched with various fund options to help identify which share class best meets their needs. Part of this functionality includes an industry-only capability to include systematic withdrawals into the calculation for more accurate results.
Once the sale is complete, Share Class Analyzer provides a comprehensive document of what funds were offered and ultimately selected. Advisors can even generate a POS disclosure form that is designed to meet the requirements of the SEC's proposed Rule 15c2-3. Documentation supports the firm's branding, collects the signature by an investor for "print and sign" records, and is both print- and email-ready for internal archiving or trade surveillance purposes.
All U.S. open-end mutual funds and their related share classes including 529 plans
Search all open-end US mutual funds and share classes
Review EDGAR-sourced mutual fund rules and data
Access current pricing and performance information
View, print and send documents from the desktop – including the summary prospectus
Perform share class analysis for “suitability” requirements
Record a POS disclosure form in print or electronic
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