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https://www.sec.gov/rules/final/33-8591.pdf
B. Prospectus Delivery Revisions 1. Access Equals Delivery a. Rule 172 (i) Scope of Rule (ii) Comments on Rule 172 b. Exceptions to the Rule c. Notification (i) Rule 173 (ii) Comments on Rule 173 2. Written Confirmations and Notices of Allocations 3. Transactions Taking Place on an Exchange or Through a Registered Trading Facility – Rule 153 4.
https://www.sec.gov/rules/petitions/2018/petn4-734.pdf
Background In 2005, the Commission adopted an "access equals delivery" model regarding the delivery of final prospectuses, as set out in Securities Act Rules 172 and 173. These ruies were intended "to faciiitate effective access to information, while taking into
https://www.law.cornell.edu/cfr/text/17/230.172
(1) Written confirmations of sales of securities in an offering pursuant to a registration statement that contain information limited to that called for in Rule 10b-10 under the Securities Exchange Act of 1934 (§ 240.10b-10 of this chapter) and other information customarily included in written confirmations of sales of securities, which may include notices provided pursuant to Rule 173 ; and
https://www.skadden.com/insights/publications/2017/04/sec-adopts-t2-settlement-cycle
Apr 04, 2017 · Securities Act Rule 172 provides for an “access equals delivery” model that permits, with certain exceptions, the prospectus delivery obligation to be satisfied by the filing of a final prospectus with the SEC, rather than physical delivery of the final prospectus to purchasers.
https://www.mayerbrown.com/public_docs/webinar_sorr_24Aug05_color.pdf
Prospectus Delivery • “Access equals delivery” model adopted subject to conditions (Rule 172) • Requirement under Section 5 to have a prospectus precede or accompany delivery of a security satisfied by filing the prospectus if Registration statement effective and not …File Size: 263KB
https://www.morganlewis.com/-/media/files/publication/presentation/speech/etfs360_formulationregulationtrading_19april11.ashx
rely on “access equals delivery” (Rule 172(d)(1)) • Exchange listing rules require broker-dealers to deliver the prospectus (so firms acting as “dealers” do not have Rule 174) • APs must deliver final prospectus for on-exchange sales unless Rule 153 exception is available when AP is acting as exchange market maker • Delivery required for off-shore sales made to foreign investors
https://governance.weil.com/insights/t2-in-practice-three-implications-not-to-be-missed-by-public-companies/
Apr 18, 2017 · If a registered offering is not eligible for “access equals delivery” under Rule 172 of the Securities Act of 1933, physical prospectuses generally must be delivered to investors before the completion of the T+2 settlement.
https://www.law.cornell.edu/cfr/text/17/230.173
(a) In a transaction that represents a sale by the issuer or an underwriter, or a sale where there is not an exclusion or exemption from the requirement to deliver a final prospectus meeting the requirements of section 10(a) of the Act pursuant to section 4(3) of the Act or Rule 174 , each underwriter or dealer selling in such transaction shall provide to each purchaser from it, not later than two business days …
http://www.stblaw.com/content/News/News364_3.pdf
The SEC Adopts Securities Offering Reform August 5, 2005 On June 29, 2005, the Securities and Exchange Commission adopted final rules that modify significantly the registration, communications and offering processes under the Securities Act of 1933 (the “Reforms”).1 The new rules will take effect on December 1, 2005. The Reforms areFile Size: 438KB
https://quizlet.com/198313177/regulations-securities-act-of-1933-flash-cards/
Under the "access equals delivery" rule, prospectuses can be delivered electronically to customers as long as the member firm knows that the customer has internet access. Since this customer made the request by e-mail, we know that the customer has internet access …
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