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SEC Proposes Framework for Fund Fees; Approves Adviser Disclosure Form Changes

July 26, 2010 in Securities Regulation & Law Report · Leave a Comment 

The Securities and Exchange Commission July 21 unanimously proposed extensive changes to the framework for mutual fund distribution fees that would cap ongoing sales charges, improve fee transparency, and potentially lead to a new distribution model for the funds.

Among other amendments, the proposed rules would give fund managers the option of allowing broker-dealers to determine their own sales charges when selling shares in a fund. Currently, all brokers must abide by…

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