12b-1 Fees

This week shapes up as a big one for RIAs as the Commission is set July 21 to consider a final rule that would force ...

Congress and the SEC must move ahead to harmonize investment adviser and broker-dealer regimes, extend a "meaningful" fiduciary duty standard to all and install "an ...

Investment Company Act of 1940 – Rule 12b-1 and Section 18(f), 22(d) and 48(a) E*TRADE Securities, LLC November 30, 2005 RESPONSE OF THE OFFICE OF ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26591; File No. S7-09-04]RIN 3235-AJ07Prohibition on the Use of Brokerage Commissions to Finance DistributionAGENCY:Securities and Exchange Commission.ACTION:Final ...

March 6, 2003 Mark D. WigderJenkens & Gilchrist1445 Ross Avenue, Suite 3200Dallas, Texas 75202 Re: Request for no-action relief on behalf of Edward Mahaffy Dear ...

No-Action Letter under: Investment Company Act of 1940- Section 18(f), 22(d); Rule 12b-1, 22c-1 ReFlow Fund, LLC July 15, 2002 RESPONSE OF THE OFFICE OF ...