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Question #1080Function 3Moderate

Class C Mutual Fund Shares: Level Load Suitability

An investor plans to invest $15,000 in a mutual fund with a target holding period of 18 months. Which share class is typically MOST cost-effective for this short time horizon?

Correct Choice: A

Class C shares (level load) charge no front-end load and typically only have a 1% CDSC if redeemed within the first year. For a 12 to 18-month holding period, paying a ~1% level fee is cheaper than paying a 5% front-end load on Class A shares.

Complete Analysis & Legal Rationale

Over long holding periods (5+ years), Class C shares become expensive due to higher annual 12b-1 fees (up to 0.75%-1.00%) that never convert to Class A.

Distractor Autopsy (Why Other Options Are Traps)

FINRA exam writers design incorrect distractors using specific calculation mistakes and regulatory misconceptions. Review why each option succeeds or fails:

Choice ACorrect
Accurate Share Class Suitability

Class C level load is most cost-effective for short holding periods (<2 years).

Choice BIncorrect
Front-End Load Drag

$15,000 does not qualify for significant Class A breakpoints; 5% front load is punitive for 18 months.

Choice CIncorrect
Class B CDSC Penalty Trap

Class B CDSC is highest in years 1-2 (5%-6%), resulting in severe redemption penalties.

Choice DIncorrect
Product Mismatch

Irrelevant asset class.

Regulatory Authority & Citations:
FINRAFINRA Rule 2341Class C Share Recommendations
Question #1076ModerateMutual Fund Public Offering Price (POP) Calculation Formula

POP = NAV ÷ (100% - Sales Charge %) = $18.60 ÷ (1 - 0.07) = $18.60 ÷ 0.93 = $20.00 per share....

Question #1077FundamentalMutual Fund Sales Charge Percentage Formula

Sales Charge % = (POP - NAV) ÷ POP = ($12.00 - $11.40) ÷ $12.00 = $0.60 ÷ $12.00 = 5.00%....

Question #1078FundamentalClass A Mutual Fund Shares: Fee Structure and Breakpoint Eligibility

Class A shares charge a front-end sales charge paid at purchase, offer volume breakpoint discounts f...

Question #1079FundamentalClass B Mutual Fund Shares: CDSC and Conversion Mechanics

Class B shares have no front-end load, but impose a Contingent Deferred Sales Charge (CDSC) that dec...

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