Delta Data Digest

The Lastest on Mutual Fund/Pooled Asset Servicing

Load Waived A Shares – Putting the Milk Back in the Bottle

In the last couple of years, FINRA has been taking a hard look at brokers that have been selling A shares to retirement plans to make sure they were waiving the load, if the fund allowed such a waiver. Well, it turns out that a...

SEC, Dodd Frank, Money Market Reform and FSOC

The Money Market Reform (MMR) rules being enacted by the SEC have left me feeling a little like we have a cure that is worse than the disease. The SEC generally does a fair job in weighing the costs versus the benefits of enacting regulations...

What’s the Matter with U – Part II

In part one of this post I opened the lid on the Pandora’s Box of mutual fund share classes (from A-Z, without U), currently floating around the industry; in part two we’ll examine why, beyond sheer confusion, this marketing practice is problematic. Other than just...

What’s The Matter with U: “U” is absent in the current offering of 375 Mutual Fund Share Class names

Personally, I don’t like going to a restaurant where the menu just goes on and on, making me wonder if they can really prepare all those selections equally well! I also have a problem with mutual fund share classes, on a number of levels.  Like...

Distribution in Guise’ Enforcement Actions in Works: SEC

In case you missed this article in today’s issue of Ignites. Looks like what they examined in the “Distribution in Guise” sweep will  be covered now in regular exams of funds. This should take it down stream to some of the smaller funds as the...
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