Class C Mutual Funds: No Front-End Sales Load, But With Contingent Deferred Sales Load and 12b-1 Fee

Understanding Class C Mutual Funds

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Question

There are different classes of mutual funds. Classes that typically do not have a front-end sales load. Instead they may impose a contingent deferred sales load and a 12b-1 fee (along with other annual expenses) is called:

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A. B. C. D.

B

The correct answer is D. Both B&C.

Mutual funds can have different classes, which often differ in their fee structures and sales loads. Class A shares usually have a front-end sales load, which is a fee that investors pay when they purchase the shares. This fee is usually a percentage of the total amount invested, and it is deducted from the investor's initial investment. Class A shares also typically have lower ongoing expenses than other classes.

Class B and Class C shares, on the other hand, generally do not have front-end sales loads. Instead, they may impose a contingent deferred sales load (CDSL) and a 12b-1 fee, along with other annual expenses.

A CDSL is a fee that investors pay when they sell their shares. The fee typically declines over time and eventually goes away altogether if the investor holds the shares long enough. The purpose of a CDSL is to encourage long-term investing and discourage short-term trading.

A 12b-1 fee is an ongoing fee that is used to cover marketing and distribution expenses for the fund. This fee is typically a percentage of the fund's assets and is paid out of the fund's returns. The purpose of a 12b-1 fee is to compensate brokers and other intermediaries for selling the fund.

Class B shares typically have a higher CDSL than Class C shares, but lower annual expenses. Class C shares, on the other hand, usually have lower CDSLs than Class B shares, but higher ongoing expenses.

In summary, Class B and Class C shares do not have front-end sales loads, but they may impose a CDSL and a 12b-1 fee, along with other annual expenses. Class B shares typically have higher CDSLs and lower annual expenses than Class C shares, while Class C shares typically have lower CDSLs and higher ongoing expenses than Class B shares. Therefore, the correct answer is D. Both B&C.