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Advisory Opinion Allows 12b-1 Fees to Unrelated Broker under Mutual Fund's In-house Plan (PDF)
Eversheds Sutherland 
Sept. 8, 2006 2 pages. Excerpt: On the facts of this new advisory opinion, the DOL reached the same conclusion as in Advisory Opinion 2002-05A and determined that the 12b-1 fees paid to the unrelated broker would not be 'sales commissions' under PTE 77-3. MORE >> |
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