We have collected information about 404 C Prospectus Delivery for you. Follow the links to find out details on 404 C Prospectus Delivery.
https://www.lexology.com/library/detail.aspx?g=b426cf4a-7a49-4d95-a5bd-c0febd2c1a61
Sep 09, 2009 · Summary prospectus may be used to satisfy “prospectus delivery” requirements of Section 404(c) of ERISA * Investment companies may provide summary prospectuses to 401(k) and other ERISA plans ...
https://www.plansponsor.com/summary-prospectus-users-still-404c-eligible/
Sep 08, 2009 · “The department believes that the delivery of a summary prospectus by an identified plan fiduciary or designee to participants and beneficiaries satisfies the requirements of the ERISA section 404(c) regulations because the required contents of the summary prospectus provide key information about a mutual fund that will assist participants and beneficiaries in making informed …
https://www.dol.gov/agencies/ebsa/employers-and-advisers/guidance/advisory-opinions/2003-11a
You assert that the required delivery of a prospectus under section 404(c) is intended to ensure that participants and beneficiaries are provided with sufficient information in order to be able to make informed decisions with respect to investment alternatives under the plan.
https://katten.com/Summary-Prospectus-May-Be-Used-to-Satisfy-Prospectus-Delivery-Requirements-of-Section-404c-of-ERISA-09-23-2009
Sep 23, 2009 · The preamble to the regulations under Section 404(c) states that the prospectus delivery requirement is intended to ensure that, immediately before or immediately after a participant’s initial investment in a mutual fund, such participant has the opportunity to review the prospectus.
https://www.lexology.com/library/detail.aspx?g=c18bd65e-f2f6-4859-a9a8-e9507f05c291
Sep 23, 2009 · The preamble to the regulations under Section 404(c) states that the prospectus delivery requirement is intended to ensure that, immediately before or …
https://www.dol.gov/agencies/ebsa/employers-and-advisers/guidance/field-assistance-bulletins/2009-03
Sep 08, 2009 · In the preamble to the § 404(c) regulations, the Department states that the prospectus delivery requirement is intended to ensure that, immediately before or immediately after a participants or beneficiarys initial investment in an investment alternative, such as a mutual fund, that is required to deliver a prospectus to investors under federal securities laws, participants and beneficiaries must be afforded the opportunity to review the prospectus.
https://katten.com/files/19817_Scheidt--ERISA_Compliance--Bureau_National_Affairs.pdf
prospectus in the plan’s possession is a full prospectus prepared under §10(a) of the Securities Act rather than a profile prepared under §10(b), then the plan must deliver the §10(a) prospectus to satisfy the §404(c) requirement. ERISA § 404(c) requires plans to provide a prospectus …
http://www.washfinancial.com/wp-content/uploads/2014/05/404c-404a5-Checklist-0114.pdf
participants formerly required under 404(c) whether or not the plan intends to comply with ERISA 404(c). Under the old 404(c) regulation, there was a long list of participant disclosures. While 404(c) was not mandatory, 404a-5 is.File Size: 338KB
Searching for 404 C Prospectus Delivery?
You can just click the links above. The data is collected for you.
