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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://www.sec.gov/rules/final/2009/33-8998.pdf
option for satisfying prospectus delivery obligations with respect to mutual fund securities under the Securities Act. Under the option, key information will be sent or given to investors in the form of a summary prospectus (“Summary Prospectus”), and the statutory prospectus will be provided on an Internet Web site.13 Funds that select this
https://www.law.cornell.edu/cfr/text/17/240.15c2-8
Rules Relating to Over-the-Counter Markets; Section 240.15c2-8. Delivery of prospectus. 17 CFR § 240.15c2-8 - Delivery of prospectus. ... in order to enable him to comply with the prospectus delivery requirements of section 5(b) (1) and (2) of the Securities Act of 1933. ...
https://finance.zacks.com/requirements-prospectus-delivery-mutual-funds-11356.html
The Securities and Exchange Commission sets the rules for the content and delivery of mutual fund prospectuses. These requirements are intended primarily for mutual fund management companies, but ...
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://finance.zacks.com/sec-prospectus-rules-3758.html
Delivery Format. Paragraph 10 of Section A in the Securities Act of 1933 defines a prospectus as not only a formal written offering, but also any circular, advertisement or letter that offers a ...
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.sec.gov/rules/other/2020/ic-33824.pdf
Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery
https://www.handbook.fca.org.uk/handbook/PR.pdf
Prospectus Rules PR 1 Preliminary 1.1 Preliminary 1.2 Requirement for a prospectus and exemptions PR 2 Drawing up the prospectus 2.1 General contents of prospectus 2.2 Format of prospectus 2.3 Minimum information to be included in a prospectus 2.4 Incorporation by reference 2.5 Omission of information PR 3 Approval and publication of prospectus
http://media.mofo.com/files/uploads/Images/130726-FINRA-Late-Prospectus.pdf
use each of these rules against a firm failing to provide prospectuses on time. Section 5(b)(2)’s requirement of timely prospectus delivery also applies to the delivery of ETF prospectuses. In addition, the failure to deliver an ETF prospectus is a violation of NASDAQ Rule 5705, which governs broker-File Size: 59KB
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