transcript   Transcript

Fund Marketing and Sale of Fund Shares

Recorded on: Apr. 21, 2017
Running Time: 01:01:12

Full Transcript:

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Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2017 recorded April , 2017 in New York.

Fund Marketing and Sale of Fund Shares [01:01:12]
  • How are fund shares distributed?
  • “Funds are sold, not bought”: the role of sales charges and no-load funds, and the future of Rule 12b-1 (or 2)
  • How funds are priced: the critical importance of fund valuation
  • Fund advertising
  • FINRA’s focus on mutual fund share class suitability
Cynthia R. Beyea, Gregory N. Bressler, Clifford E. Kirsch, Bibb L. Strench

The purchase price of this segment includes the following article from the Course Handbook available online:

  • SEC Staff Provides Guidance on Disclosure of Sales Load Variations and Filing of New Share Classes in Light of the DOL Fiduciary Rule (January 5, 2017)
    Ronald Coenen, Cynthia R. Beyea
Cynthia R Beyea ~ Eversheds Sutherland (US) LLP
Gregory N Bressler ~ General Counsel, SunAmerica Asset Management, LLC
Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Bibb L Strench ~ Thompson Hine LLP
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