Rule 12b-1 [17 CFR 270.12b-1] under the Investment Company Act of 1940: Distribution of Shares by Registered Open-end Management Investment Company

OMB 3235-0212

OMB 3235-0212

Rule 12b-1 under the Investment Company Act (17 CFR 270.12b-1) permits a mutual fund to bear expenses associated with the distribution of its shares, provided that the fund complies with certain requirements. Rule 12b-1 requires, among other things, that the fund adopt a written plan describing all material aspects of the proposed financing of distribution ("rule 12b-1 plan"). The rule 12b-1 plan must be approved by the fund's board of directors, including the independent directors (as described in the rule), and, if the rule 12b-1 plan is being adopted after public offering of the fund's voting securities, by a majority of the fund's outstanding voting securities.

The latest form for Rule 12b-1 [17 CFR 270.12b-1] under the Investment Company Act of 1940: Distribution of Shares by Registered Open-end Management Investment Company expires 2022-02-28 and can be found here.

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