Results of Regression Model of Management Expense RatiosĮvidence of Breakpoints in Management FeesĮxpenses of the Largest Mutual Funds in the Retirement MarketĪppendix Two: Expense Ratio Trends by Distribution Category Payment for Distribution Expenses:Sales LoadĪ Model for Estimating a Fund's Management Expense Ratio Payment for Distribution Expenses:12b-1 Fee Index, Institutional and Multi-Class Funds Results of Econometric Model of Expense Ratios The Changing Role of Distribution Expensesįactors That Affect Fees:Descriptive StatisticsĮxpense Ratio Trends by Distribution CategoryĮxpense Ratio Trends by Type of InvestmentĪ Model for Estimating a Fund's Expense Ratio What Costs are Included in a Fund's Expense Ratio? STUDY OF TRENDS IN MUTUAL FUND FEES AND EXPENSES Recent Commission Initiatives to Enhance the Regulatory SchemeĮnhancing the Role of Independent DirectorsĮnhancing Investor Understanding of Mutual Fund Costs Safeguards to Reduce Conflicts of Interest REGULATORY FRAMEWORK FOR MUTUAL FUND FEES AND EXPENSES Walsh, Financial Economist, and Harvey B. Atkinson, Associate Chief Economist, Vance H. Technical assistance was provided by the Office of Economic Analysis (William J. Walsh, Special Counsel to theĭirector) the Office of Compliance Examinations and Inspections (Lori A.
Other Commission Offices made significant contributions in reviewing and commenting on the report, including the Office of Investor Education and Assistance (Susan Ferris-Wyderko, Director and Geraldine M. Scheidt, Associate Director (Chief Counsel), Susan Nash, Associate Director, and Robert E. Many other members of the Division staff made significant contributions in reviewing and commenting on the report, including Douglas J.
Capretta Senior Counsel, and Deborah Abernethy, Secretary. Many members of the Division staff contributed to the drafting and editing of various sections, including Kimberley Dopkin Rasevic, Assistant Director, Alison M. Jaffray, Compliance Examiner, provided research and statistical assistance. Goldman, Chief Financial Analyst, and Robert Zweig, Senior Financial Analyst. The Division's study team consisted of Paul B. Roye, Director of the Division of Investment Management and Barry D. The report was prepared under the supervision of Paul F.
In the preparation of this report, the Division of Investment Management had the able assistance of many members of the Commission staff. Mutual Fund Fees and Expenses December 2000
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