SEC Rule 606 (formerly Rule 11Ac1-6)
This rule requires all broker-dealers that route orders in equity and option securities to make available quarterly reports that present an overview of their routing practices and respond to customer requests for individual information on orders previously routed.
Revenue Sharing Policy
Many fund families make payments (often called “revenue sharing”) to VALIC for service, marketing, and distribution. This policy explains to plan sponsors and investors how the payments are made by a fund’s distributor, investment adviser or other related entity, based on assets invested in the mutual fund, and how they may be used to benefit contract holders or plan participants.
Investor Trading Policy
This policy explains how our investment options are not designed to accommodate short-term trading or “market timing” organizations, or individuals engaged in certain trading strategies that could be disruptive to the operation of mutual funds, may increase fund expenses and potentially harm performance of the fund.
Short-Term Redemption Fee Policy
Certain mutual funds may collect redemption fees from investors when shares of the fund are sold prior to the expiration of a holding period as specified in a fund's prospectus. This policy explains how fees are retained by the fund and are intended to discourage short-term excessive trading.