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Disclosure of Breakpoint Discounts by Mutual Funds

SEC · final-rule · Published 2004-06-14 · Effective 2004-07-23 · 69 FR 33262

Document

Document number
04-13276
Federal Register citation
69 FR 33262
CFR reference
17 CFR 239
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2004-06-14
Effective date
2004-07-23
Docket
Release Nos. 33-8427

Abstract

The Securities and Exchange Commission is adopting amendments to Form N-1A under the Securities Act of 1933 and the Investment Company Act of 1940 to require an open-end management investment company to provide enhanced disclosure regarding breakpoint discounts on front-end sales loads. Under the amendments, an open-end management investment company will be required to describe in its prospectus any arrangements that result in breakpoints in sales loads and to provide a brief summary of shareholder eligibility requirements.

Source

Authoritative
Federal Register document
Machine
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