BULLETIN #0304 – M
Director, Membership Services
April 1, 2008
For Distribution to Relevant Parties within your Firm
MFDA and MFDA Investor Protection Corporation (“IPC”) Questionnaire
The MFDA and MFDA IPC has issued a questionnaire to obtain current and detailed information
on the types of products sold by Members as well as other information relating to Member
operations. This questionnaire follows up on the questionnaire issued in July 2005 with respect
to Member activities regarding exempt products, deposit instruments and referral arrangements.
There are two parts to the questionnaire. Part I is mandatory for use in the MFDA’s compliance
and enforcement activities and the information collected will be shared with the MFDA IPC.
Part II is voluntary but is necessary for the MFDA IPC to be able to assess fund size, coverage
limits, and Member fees.
Responses to the questionnaire are required by April 30, 2008. If a Member has not received a
copy of the questionnaire or has any questions with respect to this initiative, please contact Ken
Woodard, Director, Membership Services at (416) 943-4602 / email@example.com.