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Mutual Funds: Breakpoints (5)
Your search for Mutual Funds: Breakpoints returned 5 results.
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1/07/2016 | Content area: Broker-Dealer
Thousands of unsuitable mutual fund switches and a failure to provide applicable breakpoint discounts will cost Barclays Capital $13.7 million for the...
12/17/2015 | Content area: Investment Adviser
Getting a handle on the stream of share classes offered by mutual funds and their attendant fees can seem formidable. Yet recent share class allocatio...
3/03/2014 | Content area: Investment Adviser | Private Fund
The announcement of the never-been-examined initiative isn't the only new development out of OCIE (IA Watch, Feb. 24, 2014). This month, examiners wil...
7/23/2004 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Final Rule: Disclosure of Breakpoint Discounts by Mutual Funds SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 274 [Relea...
2/13/2004 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239 and 274 [Release Nos. 33-8347; 34-48939; IC-26298; File No. S7-28-03] RIN 3235-AI95 DISCLOSURE OF B...


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