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https://www.law.cornell.edu/cfr/text/17/230.174
The obligations of a dealer (including an underwriter no longer acting as an underwriter in respect of the security involved in such transactions) to deliver a prospectus in transactions in a security as to which a registration statement has been filed taking place prior to the expiration of the 40- or 90-day period specified in section 4(3) of the Act after the effective date of such ...
https://www.law.cornell.edu/cfr/text/17/229.502
(b) Dealer prospectus delivery obligation. On the outside back cover page of the prospectus, advise dealers of their prospectus delivery obligation, including the expiration date specified by Section 4(3) of the Securities Act (15 U.S.C. 77d(3)) and § 230.174 of this chapter.
https://www.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
Chapter 4 Prospectus Disclosure and Delivery Requirements Michael Glazer Partner, Bingham McCutchen LLP [Chapter 4 is current as of April 1, 2010.] § …
https://media2.mofo.com/documents/130726-finra-late-prospectus.pdf
Please Mr. Postman: FINRA Cracks Down on Late Prospectus Delivery. By . ... dealer community. So we will do it for them. THE STATUTORY OBLIGATION . Section 5(b)(2) of the Securities Act of 1933 requires an issuer to deliver a physical copy of a prospectus before ... timeliness of prospectus delivery and a failure to respond to the deficiencies ...
https://www.findknowdo.com/news/04/12/2019/sec-provides-guidance-mutual-fund-prospectus-delivery-obligations
In a guidance letter to certain parties, the SEC Division of Corporation Finance clarified that a broker-dealer may satisfy its prospectus delivery obligation, under Securities Act Section 5(b)(2), by delivering a prospectus to an investment adviser rather than to the adviser's client, provided that the broker-dealer has actual knowledge that the client has granted permission to the adviser to ...
https://www.sec.gov/Archives/edgar/data/1423689/000119312508116871/d424b4.htm
Until June 8, 2008 (25 days after the commencement of this offering), all dealers that effect transactions in these securities, whether or not participating in this offering, may be required to deliver a prospectus. This delivery is in addition to the dealer’s obligation to deliver a prospectus when acting as an underwriter and with respect ...
https://www.morganlewis.com/~/media/files/publication/presentation/speech/etfs360_formulationregulationtrading_19april11.ashx
Prospectus Delivery – 1940 Act ETFs • §5(b)(2) of 1933 Act requires offer or sale of security to be accompanied or preceded by a §10 prospectus, unless exemption available – APs and broker-dealers acting as dealers are obligated to deliver a prospectus and …
https://www.skadden.com/insights/publications/2017/04/sec-adopts-t2-settlement-cycle
Apr 04, 2017 · For securities transactions that do not benefit from “access equals delivery” or otherwise require the delivery of a physical final prospectus, the move to a T+2 settlement cycle may leave little margin for any operational difficulties that could delay the delivery of a final prospectus despite a good faith effort by the broker-dealer.
https://www.securitieslawyer101.com/2014/prospectus-delivery-requirements/
In IPO’s, a final prospectus must be delivered to all investors with or before they purchase the security being offered. Final prospectus delivery obligations are satisfied when the Company files its final prospectus meeting the requirements of Section 10(a) of the Securities Act on the SEC’s Edgar system.
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