12b-1 Fees

This section is organized as follows: Paragraph (a) of this section specifies the criteria that must be met to qualify for exemption from registration under ...

(a)(1) Except as provided in this section, it shall be unlawful for any registered open-end management investment company (other than a company complying with the ...

This firm settled with the SEC for violations having to do with charging avoidable 12b-1 fees and for not seeking best execution.

Now that those three RIA rules have been finalized (IA Watch, June 27, 2011), expect the SEC to move on to other topics, including reform ...

In what's shaping up as a month full of legal victories for the industry, a federal judge in New York has dismissed a lawsuit against ...

One reason the SEC pushed the effective date for part of its pay-to-play rule to this September is because of the challenge for advisers to ...

The full court press is on. More than 1,000 comments - many of them form letters - have flooded the SEC in response to the ...

The SEC's proposed rule that would eliminate 12b-1 fees and transition to a new 12b-2 fee. This was released in August 2010.

Rather than fixing mutual fund fees around the edges, SEC commissioners appear intent on creating new Investment Company Act rule 12b-2, which would spell out ...