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SEC to Host Roundtable Discussion Regarding Rule 12b-1

WASHINGTON -- The Securities and Exchange Commission will host a roundtable discussion June 19 on issues surrounding Rule 12b-1 under the Investment Company Act of 1940.

By Staff Writer | Updated on June 05, 2007

WASHINGTON — The Securities and Exchange Commission will host a roundtable discussion June 19 on issues surrounding Rule 12b-1 under the Investment Company Act of 1940.

Rule 12b-1 permits mutual funds to use fund assets to finance the distribution of their shares. The roundtable will consist of panels addressing the historical circumstances that led to the promulgation of Rule 12b-1, and the original intended purpose of the rule; the evolution of the uses of Rule 12b-1 and the rule’s current role in fund distribution practices; the costs and benefits of the current use of Rule 12b-1; and the options for reform or rescission of Rule 12b-1.

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