{"id":179,"date":"2016-06-10T15:56:56","date_gmt":"2016-06-10T15:56:56","guid":{"rendered":"http:\/\/localhost\/?p=179"},"modified":"2016-11-01T16:01:00","modified_gmt":"2016-11-01T16:01:00","slug":"deja-vu-all-over-again-finra-takes-another-look-at-mutual-fund-sales-charge-waivers","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2016\/06\/10\/deja-vu-all-over-again-finra-takes-another-look-at-mutual-fund-sales-charge-waivers\/","title":{"rendered":"D\u00e9j\u00e0 Vu All Over Again \u2013 FINRA Revisits Mutual Fund Sales Charge Waivers"},"content":{"rendered":"<p>The Financial Industry Regulatory Authority is once again taking a close look at\u00a0member firm mutual fund sales practices and sales charge waivers (Mutual\u00a0Fund Waiver Sweep) in the U.S. FINRA\u2019s target exam letter seeks information\u00a0about mutual fund sales to retirement plans and charitable accounts, as well as\u00a0the sales charge waivers that mutual funds make available to eligible\u00a0purchasers. FINRA\u2019s Mutual Fund Waiver Sweep covers the period from\u00a0January 1, 2011 through December 31, 2015 and, as drafted, seeks responses\u00a0from FINRA member firms by June 10, 2016.<\/p>\n<p>Read more here:<a href=\"https:\/\/info.dechert.com\/10\/6881\/june-2016\/deja-vu-all-over-again---finra-takes-another-look-at-mutual-fund-sales-charge-waivers.asp\" target=\"_blank\">D\u00e9j\u00e0 Vu All Over Again \u2013 FINRA Takes Another Look at Mutual Fund Sales Charge Waivers<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>The Financial Industry Regulatory Authority is once again taking a close look at\u00a0member firm mutual fund sales practices and sales charge waivers (Mutual\u00a0Fund Waiver Sweep) in the U.S. FINRA\u2019s target exam letter seeks information\u00a0about mutual fund sales to retirement plans and charitable accounts, as well as\u00a0the sales charge waivers that mutual funds make available to &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2016\/06\/10\/deja-vu-all-over-again-finra-takes-another-look-at-mutual-fund-sales-charge-waivers\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">D\u00e9j\u00e0 Vu All Over Again \u2013 FINRA Revisits Mutual Fund Sales Charge Waivers<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":14,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,21],"tags":[],"class_list":["post-179","post","type-post","status-publish","format-standard","hentry","category-compliance","category-regulatory"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/179","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/14"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=179"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/179\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=179"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=179"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=179"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}