Loan & Distribution Specialist AimPoint Pension
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Regional Vice President of Sales The Retirement Plan Company
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AimPoint Pension
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Compass
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Bates & Company, Inc.
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Text of Final Reg Prohibiting Use of Brokerage Commissions To Finance Distribution (PDF)
U.S. Securities and Exchange Commission [SEC] [Official Guidance] Sept. 9, 2004
8 pages. Excerpt: The amended rule prohibits funds from paying for the distribution of their shares with brokerage commissions. The amendments are designed to end a practice that poses significant conflicts of interest and may be harmful to funds and fund shareholders.
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