Amendment to Interpretive Material Regarding Mutual Fund Breakpoint Sales

NASDR has filed with the SEC a proposed rule change to Interpretive Memorandum 2830-1 of the NASD regarding mutual fund breakpoint sales to clarify its application to modern portfolio investment strategies.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 31.78 KB
Extension Letter No. 1PDF - 2.43 KB
Extension Letter No. 2PDF - 2.3 KB
Federal Register NoticePDF - 19.42 KB
Approval OrderPDF - 20.57 KB