at typical 12b-1 fund growth rates for a fund to be able to achieve sufficient scale economies to offset 12b-1 fees. Finally, there is no evidence that funds with 12b-1 plans have lower deposit …

Rule 12b-1 prohibits mutual funds from engaging, directly or indirectly, in the financing of any activity which is primarily intended to result in the sale of fund shares except pursuant to a 12b …

1. Enhanced Descriptors and Disclosures of 12b-1 Fees. 12b-1 fees are utilized to pay for a variety of expenses, from servicing of shareholder accounts to compensation for broker-dealer …

2007年6月19日 · When it adopted Rule 12b-1, the Commission anticipated that the rule would serve a limited purpose: to permit funds to subsidize marketing expenses or to help them …

2010年7月21日 · "Our proposals would replace rule 12b-1 with new rules designed to enhance clarity, fairness and competition when investors buy mutual funds." The SEC's proposal would: …

2015年3月20日 · Exhibit (m) Rule 12b-1 Plan . SIT MUTUAL FUNDS, INC. DISTRIBUTION PLAN (Rule 12b-1 Plan) This Distribution Plan (the “Plan”) is adopted pursuant to Rule 12b-1 under …

The Questionnaire for Self-Reporting Advisers and Attachment linked to the Announcement require the adviser to provide specific data concerning the 12b-1 fees the investment adviser …

2004年7月9日 · Fund brokerage is an asset of the fund, and its use to pay for distribution expenses implicates rule 12b-1, which regulates the use of fund assets to pay selling brokers …

Investors who did not pay improperly disclosed 12b-1 Fees and/or Markups to Defendants in connection with investment advisory or brokerage services during the Relevant Period are …

A. This amended and restated Plan has been approved by the Board of Trustees of the Trust in accordance with Rule 12b-1(b)(2) of the 1940 Act. B. This Plan originally became effective on …