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Corporate & Securities Law

: Jim Hamilton's World of Securities Regulation

By Jim Hamilton

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Kentucky Sets Forth Minimum Recommended Disclosures for Switching Transactions

Minimum recommended disclosures for "switching transactions," an investor's moving from one product to another such as from one mutual fund to another, one variable annuity to another, or from a mutual fund to a variable annuity, are set forth by the Kentucky Securities Division. The minimum recommended disclosures include clearly identifying the investment being bought and sold, by indicating the full name of the product and the type of share or option; the surrender charges, redemption fees and other costs in both dollar amounts and percent of investment value of the product being sold; and the receipt of any commissions from the switch.

For more information please see http://www.kfi.ky.gov/

Full post as published by Jim Hamilton's World of Securities Regulation on January 11, 2010 (boomark / email).