The mutual fund fees known as 12b-1s have morphed into something few envisioned when the SEC created them 25 years ago. With regulators now poised to address that transformation, many reps are ...

The Securities and Exchange Commission ordered NPB Financial Group to pay more than $1 million to settle charges that it failed to disclose payments it received from mutual funds that it recommended ...

Fund costs are down, transparency is up — and yet avoiding controversial fees in a portfolio is still easier said than done due to one of the industry's bugaboos: 12b-1 fees. Processing Content Even ...

A dually registered investment firm with about $1.17 billion in managed assets settled charges last week with the Securities and Exchange Commission over claims the firm recommended mutual fund share ...

PALM DESERT, Calif. — Industry participants were unhappy to learn that repeal will be an option as the Securities and Exchange Commission takes a hard look at the 12(b)-1 rule, which allows mutual ...

After years on the back burner, the Securities and Exchange Commission's rule governing mutual fund marketing fees is in store for a "complete overhaul," according to commission chairman Christopher ...

Making good on its promise to continue to put 12b-1, revenue sharing and wrap fee programs under the microscope, the Securities and Exchange Commission has hit Rothschild Investment Corp. of Chicago ...

Wohlstetter Conference Center, Twelfth Floor, AEI 1150 Seventeenth Street, N.W., Washington, D.C. 20036 Rule 12b-1 under the Investment Company Act of 1940 regulates the ability of mutual funds to use ...

As with any for-profit business enterprise, the mutual fund industry charges fees for the services it offers. Actively managed fund services consist of managing a pool of commingled assets with an ...

A 12b-1 fee is a marketing and distribution fee for a mutual fund. It’s included in a fund’s expense ratio. This fee can range from 0.25%–0.75% of a mutual fund’s net assets.