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News May 22, 2017 Issue

SEC’s Distribution-in-Guise Enforcement Drive Scores Multiple Wins

Advisers managing funds that pay for marketing and distribution services would be wise to make sure those payments fall within each fundís 12b-1 plan. The SECís distribution-in-guise crackdown, which resulted in several settlements in recent months, has already netted two in May Ė and the month isnít over yet.

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