FINRA - Investor Information - Mutual Fund Breakpoint Search Tool

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Mutual Fund Breakpoint Search Tool

Mutual funds that have front-end sales charges may offer discounts for larger investments; the amounts at which these discounts become available are called "breakpoints." In order to research eligibility for a breakpoint discount, FINRA has created the Mutual Fund Breakpoint Search Tool. This tool allows you to look up breakpoint schedules and linkage rules for mutual funds with sales charges to ensure discounts are given where applicable.

The Breakpoint Search Tool was created in response to recommendations made by the Joint NASD/Industry Task Force on Breakpoints. It pulls information from a database created and provided by National Securities Clearing Corporation (NSCC), a subsidiary of The Depository Trust & Clearing Corporation (DTCC).

Terms & Conditions

Please read the following and indicate whether you accept them or not.

FINRA - Investor Information - Mutual Fund Breakpoint Search Tool
Terms and Conditions

1.  The Financial Industry Regulatory Authority, Inc. ("FINRA®") provides this digital information pertaining to breakpoint information as populated by mutual fund companies in the NSCC Profile II database ("Mutual Fund Breakpoint Search Tool" or "MFBST Web site"). Your access to this tool through FINRA's Web site does not transfer to you any rights in the technology or information within this tool.

2.  Your use of this tool is conditioned upon your acceptance, without modification, of all terms and conditions of this Agreement.  Any information accessed, requested or provided through this MFBST Web site must be accessed, requested and used in accordance with the terms and conditions specified in this Agreement.  FINRA reserves any rights not expressly granted under these terms and conditions.  Additionally, FINRA reserves the right, at its sole discretion, to modify the terms and conditions for use of the MFBST Web site at any time by changing this Agreement, and any changes are effective immediately.

3.  FINRA makes no exclusive proprietary claim to the information in the MFBST Web site that is not created by FINRA and you are neither restricted nor prohibited by FINRA from obtaining a copy of any original filing or information from a non-FINRA source.

4.  You may use this tool ONLY for your own personal or professional use in specific matters pertaining to the information presented within the tool.  In the instance of professional use, you may not use this tool for any commercial purpose other than providing fund specific information to specific clients.

5.  The information provided to you through this tool is provided to you ONLY for your own personal or professional use.  All other uses are prohibited.  You agree that you will not duplicate, download, publish, publicly display, modify or otherwise distribute the information retrieved from this MFBST Web site for any purpose other than as expressly permitted by this Agreement.  In no event may you offer to others any information retrieved from the MFBST Web site for commercial purposes, or as part of a service bureau or similar arrangement.  You agree that you will not use the information retrieved from the MFBST Web site to develop or create a database of information to be sold, licensed or made otherwise commercially available.  You agree that you will not use any robot, spider, other automatic device, or manual process to monitor or copy the MFBST Web site information in bulk, or to make voluminous, excessive or repetitive requests for information.  You further agree that you will not use any device, software or routine to bypass any software or hardware that prohibits volume requests for information, you will not interfere with or attempt to interfere with the proper working of the MFBST Web site, and you will not take any action that imposes an unreasonable or disproportionately large load on the site.

6.  All requests for permission to access or use this tool for uses other than those described in Paragraphs 4 or 5 of this Agreement must be made in writing to FINRA clearly stating the purpose and manner in which this tool will be used.  Requests may be submitted to FINRA, Compliance Utilities & Services, 1735 K Street, Washington, DC 20006.  FINRA, in its sole discretion, may approve or reject any request that is inconsistent with the terms and conditions of use of this tool.

7.  FINRA obtains the information provided via this tool from third party sources believed to be reliable but not guaranteed.  In the event you have any questions pertaining to fund specific information displayed through this tool, please contact the relevant fund directly.  FINRA is unable to answer any queries relating to fund specific information.

8.  FINRA does not charge for this service. In the provision of this service, FINRA makes no warranties of any kind, and disclaims liability to any person for any actions taken or omitted in good faith with respect to this tool. FINRA obtains the information provided via this tool from third party sources believed to be reliable but not guaranteed.  FINRA is not responsible for and cannot verify information from sources other than FINRA, and does not warrant or guarantee the accuracy or completeness of the information requested or displayed. Neither FINRA nor any affiliate or supplier shall be liable for any cause of action in contract, tort, or otherwise, for more than the incremental telecommunications cost incurred to connect to the service. Notwithstanding the above, neither FINRA nor any affiliate or supplier shall be liable for any loss of income, trading loss, or consequential, incidental, or indirect damages, regardless of whether FINRA has been informed of the possibility of such damages.

By clicking the checkbox below, I certify that I have read and understand all of the terms set forth above and intend to form a binding agreement with the FINRA on those terms. If I am accepting this agreement on behalf of an organization, I certify that I have authority of that organization to enter into this agreement.

I Accept the above Terms and Conditions.

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