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Regulation and Compliance > Federal Regulation > SEC

SEC to Issue Proposed 12b-1 Changes July 21

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The Securities and Exchange Commission (SEC) will issue long-anticipated proposed changes to its rule on 12b-1 fees at its open meeting on Wednesday, July 21. At the same meeting, the SEC also plans to adopt a rule on a bifurcated Form ADV Part 2–separate forms for SEC and state-registered advisors–which is drawing criticism from state regulators.