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Mutual Fund Company |
Financial Intermediary |
Rules Not Communicated |
Unhappy Investor |
| Mutual Fund Company defines its frequent trading policy, restrictions, and associated short-term redemption fees in the fund prospectus or supplement. Financial Intermediary must disclose these "redemption fee" policies for funds to investors during sales transactions. | If any Financial Intermediary does NOT disclose the redemption fee policy, investors may inadvertently trigger a "redemption fee" by the Mutual Fund Company. |