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Series6 Product Info

Investment company securities and variable contracts

TermDefinition
Withdrawal Plans (3 types) 1. Fixed Dollar Plan 2. Fixed % or Share plan 3. Fixed Time Plan * Not all mutual funds have withdrawal plans * Plans are NEVER guaranteed, possible to exhaust by over withdrawing, and can never use a chart to sell WD plans
Withdrawal Plans can begin when... there is a minimum amount of money invested * No service fee and should not continue to invest once withdrawal begins.
Contractual Plans (aka Periodic Payment Plans) Enables investors to accumulate a sum of $ over a fixed period of time to invest in a mutual fund (usually monthly). Purchaser signs a contract stating to invest certain amount of $ over a period of time usually 10 years.
Characteristics of a Contractual Plan 1. Calls for a fixed Investment made at regular intervals over period of time. 2. Customer is purchasing fund shares from a plan company. 3. Classified as an UIT. 4. Investor receives 2 prospectuses (plan co and invst co). 5. Have a Plan Custodian
Created by: TGC81
 

 



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