How to Write a Cover Letter for Requesting a Prospectus

Successful investors use prospectuses as a tool to help analyze risk and determine the possible rewards associated with investments such as stocks, bonds and mutual funds. There are two types of prospectuses, but each includes information such as the companies a mutual fund is invested in, past performance, background information about the portfolio manager and fees. A summary prospectus provides the information investors need to know in simple language and without the confusing "legalese" a full prospectus contains. In most cases, requesting a summary prospectus is adequate. Although many investment companies provide prospectuses on their websites, you can also use a letter to ask for one by mail.

Step 1

Type your address at the top of the page, followed by the date on a separate line. You can place these on either the left or right side of the page.

Step 2

Skip a line and type the company's name and mailing address on separate lines. Place this information on the left side of the page. You can find the address on the investment firm's website or by calling the company.

Step 3

Use a salutation such as "To Whom it May Concern" because it is unlikely that the letter has a specific recipient. If there is a person handling prospectus requests, address him by name.

Step 4

Request the prospectus in the first sentence of the letter. Tell the reader whether you want a full or summary prospectus and include the full name of the security and the ticker symbol in parentheses, if you know it. A simple statement, such as "I am writing to request a summary prospectus for XYZ Capital (XYZC)" will suffice.

Step 5

Ask the recipient to mail the prospectus to the address at the top of the page or provide the address to which you want it sent.

Step 6

Thank the reader and type your full name at the bottom of the page.

Tip

  • Investment companies update prospectuses annually, so get a new one every year to make sure you have up-to-date information.

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