Proposed Class Exemption for Principal Transactions in Certain Debt Securities between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs
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چکیده
Non-Proprietary Mutual Fund (Load Fund). XYZ MF Large Cap Fund, Class A Class B Class C. [ • ]% sales load as applicable. [ • ]% dealer concession. [ • ]% of transactional fee Extent considered in annual bonus. [ • ]% expense ratio. [ • ]% 12b–1 fee, revenue sharing (paid by fund/affiliate). [ • ]% of ongoing fees. Extent considered in annual bonus. N/A ................. Breakpoints (as applicable) Contingent deferred shares charge (as applicable) Proprietary Mutual Fund (No load). ABC MF Large Cap Fund. No upfront charge. N/A ................. N/A ................. [ • ]% expense ratio. [ • ]% assetbased annual fee for shareholder servicing (paid by fund/affiliate). [ • ]% of ongoing fees Extent considered in annual bonus. [ • ]% assetbased investment advisory fee paid by fund to affiliate of Financial Institution. N/A
منابع مشابه
Subchapter E [reserved] Subchapter F—fiduciary Responsibility under the Employee Retirement Income Security Act of 1974 Part 2550—rules and Regula- Tions for Fiduciary Respon- Sibility
Sec. 2550.403a–1 Establishment of trust. 2550.403b–1 Exemptions from trust requirement. 2550.404a–1 Investment duties. 2550.404b–1 Maintenance of the indicia of ownership of plan assets outside the jurisdiction of the district courts of the United States. 2550.404c–1 ERISA section 404(c) plans. 2550.407a–1 General rule for the acquisition and holding of employer securities and employer real pro...
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