Rule 12b-1 definition

Rule 12b-1 means Rule 12b-1 as promulgated under the Investment Company Act.
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Rule 12b-1 means Rule 12b-1 promulgated under the 1940 Act.
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Rule 12b-1 means Rule 12b-1 adopted under the Investment Company Act, as the same may from time to time be amended, supplemented or modified.
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Examples of Rule 12b-1 in a sentence

  • To the extent that it decides to finance distribution expenses pursuant to Rule 12b-1, the Fund undertakes to have a board of trustees, a majority of whom are not interested persons of the Fund, formulate and approve any plan under Rule 12b-1 to finance distribution expenses.

  • The Fund has adopted a "no fee" or "defensive" Rule 12b-1 Plan under which it makes no payments for distribution expenses.

  • The Fund may be deemed to be acting as distributor of securities of which it is the issuer, pursuant to Rule 12b-1 under the Investment Company Act of 1940 (the "1940 Act"), according to the terms of this Plan.

  • Class C Shares are subject to fees calculated as a stated percentage of the net assets attributable to Class C Shares under the Class C Rule 12b-1 Distribution Plan as set forth in such Distribution Plan.

  • The Class C Shareholders of the Fund have exclusive voting rights, if any, with respect to the Fund's Class C Rule 12b-1 Distribution Plan.

  • The Class Y Shareholders of the Fund have exclusive voting rights, if any, with respect to the Fund's possible future adoption of a Class Y Rule 12b-1 Distribution Plan.

  • Class A Shares are subject to fees calculated as a stated percentage of the net assets attributable to Class A Shares under the Fund's Class A Rule 12b-1 Distribution Plan as set forth in such Distribution Plan.

  • Each Class shall be allocated those shareholder service fees and fees and expenses payable under a Rule 12b-1 Plan specified in the Class Exhibit.

  • The Class B Shareholders of the Fund have exclusive voting rights, if any, with respect to the Fund's Class B Rule 12b-1 Distribution Plan.

  • The Fund will also pay expenses which it is authorized to pay pursuant to Rule 12b-1 under the 1940 Act.


More Definitions of Rule 12b-1

Rule 12b-1 means Rule 12b-1 adopted under the Investment Company ---------- Act, as the same may from time to time be amended, supplemented or modified.
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Related to Rule 12b-1

  • Rule 159A “Rule 405” and “Rule 415” mean, in each case, such rule promulgated under the Securities Act (or any successor provision), as the same shall be amended from time to time.

  • Rule 15c2-12 means Rule 15c2-12 under the Securities Exchange Act of 1934, as amended through the date of this Undertaking, including any official interpretations thereof.

  • Rule 173 “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 17f-7 means Rule 17f-7 promulgated under the 1940 Act.

  • Rule 17f-5 means Rule 17f-5 promulgated under the 1940 Act.

  • Rule 163 “Rule 164”, “Rule 172”, “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 144A means Rule 144A promulgated under the Securities Act.

  • Rule 164 “Rule 172”, “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • SEC Rule 144 means Rule 144 promulgated by the SEC under the Securities Act.

  • Rule 3a-5 means Rule 3a-5 under the Investment Company Act.

  • Rule 144 means Rule 144 promulgated under the Securities Act.

  • Rule 497 refers to Rule 497(c) or 497(h) under the Act, as applicable.

  • Exchange Act means the Securities Exchange Act of 1934, as amended.

  • Rule 3a-7 means Rule 3a-7 under the Investment Company Act.

  • Rule 145 means Rule 145 as promulgated by the Commission under the Securities Act, as such Rule may be amended from time to time, or any similar successor rule that may be promulgated by the Commission.

  • SEC Rule 145 means Rule 145 promulgated by the SEC under the Securities Act.

  • Securities Exchange Act of 1934 means the United States Securities Exchange Act of 1934, as from time to time amended.

  • SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934.

  • Rule 17g-5 Rule 17g-5 under the Exchange Act.

  • 1934 Exchange Act means the Securities Exchange Act of 1934 of the United States, as amended, and the rules and regulations thereunder as now in effect or as the same may from time to time be amended, re-enacted or replaced;

  • U.S. Exchange Act means the United States Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder;

  • Rule 134 “Rule 164,” “Rule 172,” “Rule 405,” “Rule 415,” “Rule 424,” “Rule 430A,” “Rule 430B,” “Rule 433” and “Rule 462” refer to such rules under the Act.

  • Rule 158 “Rule 163”, “Rule 164”, “Rule 172”, “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 424 means Rule 424 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended or interpreted from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same purpose and effect as such Rule.

  • Exchange Act Regulations means the General Rules and Regulations under the Exchange Act.

  • Commodity Exchange Act means the Commodity Exchange Act (7 U.S.C. § 1 et seq.), as amended from time to time, and any successor statute.