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https://study.com/academy/lesson/delivery-of-prospectus-rules-requirements.html
A prospectus must be given to investors prior to investing in many different situations in the investment industry. This lesson discusses the rules pertaining to delivering prospectuses to investors.
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://www.law.cornell.edu/cfr/text/17/240.15c2-8
(a) It shall constitute a deceptive act or practice, as those terms are used in section 15(c)(2) of the Act, for a broker or dealer to participate in a distribution of securities with respect to which a registration statement has been filed under the Securities Act of 1933 unless he complies with the requirements set forth in paragraphs (b) through (h) of this section.
https://www.sec.gov/rules/final/2009/33-8998.pdf
ENHANCED DISCLOSURE AND NEW PROSPECTUS DELIVERY OPTION FOR REGISTERED OPEN-END MANAGEMENT INVESTMENT COMPANIES ... option for satisfying prospectus delivery obligations with respect to mutual fund ... 13 A “statutory prospectus” is a prospectus that meets the requirements of …
https://www.sec.gov/news/press-release/2020-73
Mar 25, 2020 · For purposes of the Form S-8 eligibility requirements and the current public information eligibility requirements of Rule 144(c), a company relying on the exemptive order will be considered current in its Exchange Act filing requirements if it was current as of the first day of the relief period and it files any report due during the relief ...
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.
https://legacy.pli.edu/product_files/Titles/148/%23205949_04_Mutual_Fund_Regulation_P2_20170714142446.pdf
Prospectus Disclosure and Delivery Requirements Michael Glazer Partner, Morgan, Lewis & Bockius LLP Laurie A. Dee Partner, Morgan, Lewis & Bockius LLP [Chapter 4 is current as of May 15, 2017.] § 4:1 Federal and State Registration Requirements § 4:1.1 Registration Under the Securities Act and the Investment Company Act
https://study.com/academy/practice/quiz-worksheet-delivery-of-prospectus-requirements.html
About This Quiz & Worksheet. Use this quiz to check your knowledge of requirements for the delivery of a prospectus. You'll also be tested on SEC requirements for a prospectus and mutual funds.
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