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https://www.law.cornell.edu/cfr/text/17/230.174
Delivery of prospectus by dealers; exemptions under section 4(3) of the Act. 17 CFR § 230.174 - Delivery of prospectus by dealers; exemptions under section 4(3) of the Act. CFR ... relates to offerings to be made from time to time no prospectus need be delivered after the expiration of the initial prospectus delivery period specified in ...
https://study.com/academy/lesson/delivery-of-prospectus-rules-requirements.html
Prospectus Delivery. ... Rule 134 provides the ability for brokers and dealers to discuss information about a public offering or investment in a fund with potential investors, particularly using ...
https://www.law.cornell.edu/cfr/text/17/240.15c2-8
(g) If the broker or dealer is a managing underwriter of such distribution, he shall take reasonable steps to see to it that all other brokers or dealers participating in such distribution are promptly furnished with sufficient copies, as requested by them, of each preliminary prospectus, each amended preliminary prospectus and the final ...
https://www.sec.gov/rules/final/2009/33-8998.pdf
prospectus. The Commission is also adopting rule amendments that permit a person to satisfy its mutual fund prospectus delivery obligations under Section 5(b)(2) of the Securities Act by sending or giving the key information directly to investors in the form of a summary prospectus and providing the statutory prospectus on an Internet Web site.
https://media2.mofo.com/documents/130726-finra-late-prospectus.pdf
Please Mr. Postman: FINRA Cracks Down on Late Prospectus Delivery. By . Daniel A. Nathan. and Kerry C. Jones . FINRA has been engaged in a “stealth sweep” of firms’ untimely deliveries of mutual fund and ETF prospectuses that has resulted in formal disciplinary proceedings against twelve firms since 2011, and a total of over $5 million in ...
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.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://solomonexamprep.com/content-txt/35506/37/Delivery-of-Prospectus-by-Dealers-Rule-174-
Delivery of Prospectus by Dealers (Rule 174) Any dealer that sells a security within 90 days, for an OTC IPO, (or 40 days in the case OTC follow-on offering) after the later of (1) the date the security was bona fide offered to the public or (2) the date the registration became effective is generally obligated to deliver a final prospectus to the purchaser.
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