*Letters

Proposed Amendments to Conduct Rule 2830

Published on:
October 14, 1997

The Investment Company Committee of the Securities Industry Association (SIA)* provides comments to the National Association of Securities Dealers Regulation, Inc. (NASDR) on proposed amendments to Conduct Rule 2830, Notice to Members 97-48.  The proposed amendments, among other things, would place caps on fund sales loads in a fund of funds context, specify a first in-first out liquidation requirement with respect to funds subject to contingent deferred sales load (CDSL) and eliminate duplication of certain Rule 12b-1 fee disclosure.

*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.

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