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SEC RIN: 3235-AJ94 Publication ID: 2012 
Title: Investment Company Distribution Fees 
Abstract: The Commission proposed a new rule and rule amendments to replace Rule 12b-1 under the Investment Company Act, the rule that permits registered open-end management companies to use fund assets in connection with the distribution of fund shares. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 12b-1 (To search for a specific CFR, visit the Code of Federal Regulations.
Legal Authority: 15 USC 80a-12(b); 15 USC 80a-37(a) 
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  08/04/2010  75 FR 47064 
NPRM Comment Period End  11/08/2010   
Final Action  09/00/2013   
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2010/33-9128.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Thoreau Adrian Bartmann
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6745
Email: bartmannt@sec.gov

 
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