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https://www.ebglaw.com/news/department-of-labor-allows-summary-prospectus-delivery-to-401k-plan-participants/
Sep 23, 2009 · September 23, 2009. Following the lead of the Securities Exchange Commission (SEC), the Department of Labor (DOL) confirmed (in Field Assistance Bulletin 2009-3, released September 8, 2009) that it will consider delivery of a Summary Prospectus that meets SEC requirements as also meeting DOL rules for delivery of investment prospectuses to plan participants.
https://corporate.findlaw.com/corporate-governance/disclosure-requirements-for-plans-subject-to-erisa-and-sec-rules.html/
To meet updating requirements under the Securities Act, a prospectus supplement must be provided to each employee who is eligible to participate in the plan. As with the SMMs, delivery should be by a "means reasonably calculated to ensure actual receipt of …
http://www.401khelpcenter.com/pdf/Death_to_the_Prospectus_Requirement.pdf
Death to the Prospectus Requirement! ... provision—the Exclusive Benefit Rule—found as one of the qualification requirements in IRC §401(a)(2). For an in-depth discussion of the Exclusive Purpose Rule see Chapters 4 and 5 of 401(k) Fiduciary Governance: AnFile Size: 818KB
https://www.shrm.org/ResourcesAndTools/hr-topics/benefits/Pages/SummaryProspectus.aspx
Sep 08, 2009 · DOL Approves 'Summary Prospectus' for 401(k) Fund Investors ... 2009, finding that a 401(k)-style defined contribution plan might satisfy the prospectus delivery requirements of …
https://www.investopedia.com/terms/p/prospectus.asp
A prospectus is a formal document that is required by and filed with the Securities and Exchange Commission (SEC) that provides details about an investment offering for sale to the public. A ...
https://www.investopedia.com/ask/answers/100314/what-information-does-my-employer-have-give-me-regarding-my-401k-plan.asp
Nov 01, 2019 · While a prospectus is not required, many 401(k) providers issue a prospectus of every fund offered in the plan. There is also a legal requirement to provide a prospectus on …Author: Investopedia Staff
https://www.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
Prospectus Disclosure and Delivery Requirements Michael Glazer Partner, Bingham McCutchen LLP [Chapter 4 is current as of April 1, 2010.] § 4:1 Federal and State Registration Requirements § 4:1.1 Registration Under the 1933 and 1940 Acts § 4:1.2 The Federal Registration Process [A] Applicable Forms [B] Automatic Effectiveness—Delaying ...
https://finance.zacks.com/requirements-prospectus-delivery-mutual-funds-11356.html
Prospectus Delivery. The SEC requires mutual fund managers to provide investors an Internet link to a fund's prospectus summary, along with a toll-free number and an e-mail address where they can ...
https://www.irs.gov/retirement-plans/notice-requirement-for-a-safe-harbor-401k-or-401m-plan
The requirements for electronic delivery are set forth in Reg. § 1.401(a)-21. Notice requirement due to mid-year changes to a plan Notice 2016-16, issued on January 29, 2016, provides guidance on mid-year changes to safe harbor 401(k) plans.
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