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10-K

A public corporation’s detailed business report that is required to be filed with the SEC yearly.

12B-1 Fees

A fee (typically less than 1 percent) charged by some funds to cover operating and marketing expenses. Information about 12b-1 fees is disclosed in a fund’s prospectus and can reduce shareholders’ returns over time.

401(k) Plan

A defined-contribution retirement plan offered as an employee benefit by a company. It allows the contributor to set aside pre-tax income into a pool that is then invested in securities. Early withdrawals (prior to age 59 1/2) may be subject to a 10% IRS penalty.

403(b) Plan

A defined-contribution retirement plan offered as an employee benefit by a qualifying non-profit organization. It allows the contributor to set aside pre-tax income into a pool that is then invested in securities. Early withdrawals (prior to age 59 1/2) may be subject to a 10% IRS penalty.