The SEC Summary Prospectus Rule Provides Financial Intermediaries with New Opportunities

The SEC’s new Summary Prospectus Rule does not require financial intermediaries to change any processes. Your processes will only change if the mutual fund or issuer implements the Summary Prospectus document. If the document is implemented by the mutual fund or issuer, we will make the summary prospectus available on your behalf.

Our Consultative Approach

Broadridge’s consultative approach brings you a custom solution depending on your desired fulfillment method and business objectives. During the initial stages of fund implementation, we will distribute the Summary Prospectus the same way we distribute the Statutory Prospectus. The document changes but the process remains the same. We are also evaluating and developing other distribution solutions to add more value to the process for both mutual funds and their bank/broker distribution partners.

Our summary prospectus templates allow for personalization of content while offering branded or anonymous hosting of on-line documents. Broadridge will work on your behalf to help you maintain compliance and optimize postage savings.

The bottom line is that Broadridge handles investor communication activities so that financial intermediaries don’t have to make large investments in operations infrastructure – that way; you can focus on your core business activities.

Trust our leading-edge technology for innovation, accuracy, reliability and security. With multiple high-volume, ISO-certified production facilities, state-of-the-art fulfillment and distribution facilities around the country, Broadridge exceeds expectations for customized and personalized on-demand communications.

Broadridge hosted a Summary Prospectus webinar targeting post-sale fulfillment clients. Click here to view the presentation.