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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 …
https://www.law.cornell.edu/cfr/text/17/240.15c2-8
(i) This section shall not require the furnishing of prospectuses in any state where such furnishing would be unlawful under the laws of such state: Provided, however, That this provision is not to be construed to relieve a broker or dealer from complying with the requirements …
https://www.sec.gov/rules/final/2009/33-8998.pdf
ENHANCED DISCLOSURE AND NEW PROSPECTUS DELIVERY OPTION FOR REGISTERED OPEN-END MANAGEMENT INVESTMENT COMPANIES ... Prospectuses are often long, both because they contain a wealth of detailed information, which our rules require, and because prospectuses for …
https://www.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
In practice, preliminary mutual fund prospectuses are used infrequently. They are distributed most often in connection with the mailing of proxy statements to shareholders of a target fund who are voting on its reorganization into a newly organized acquiring fund in exchange for shares of the acquiring fund.
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://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://www.investopedia.com/terms/p/prospectus.asp
Prospectus: A prospectus is a formal legal document that is required by and filed with the Securities and Exchange Commission that provides details about an investment offering for sale to the ...
https://www.law.cornell.edu/cfr/text/17/230.172
§ 230.172 Delivery of prospectuses. (a) Sending confirmations and notices of allocations. ... of the Act precede or accompany the carrying or delivery of a security in a registered offering is satisfied if the conditions in paragraph (c) of this section are met. (c) Conditions.
https://www.sec.gov/rules/proposed/2018/33-10569.pdf
portfolio company prospectuses such that investors only receive prospectuses for the portfolio companies to which they have allocated purchase payments. Although paper is the default format for delivery of contract prospectuses, portfolio company prospectuses, and certain other required disclosures, we understand that most insurers
https://www.mofoiminsights.com/2014/12/finra-sanctions-member-firm-for-failure-to-deliver-etf-prospectuses/
Dec 19, 2014 · FINRA recently sanctioned a broker-dealer (the “Firm”) for failure to deliver prospectuses in connection with its sale of ETFs. FINRA also found that the Firm failed to implement a supervisory system reasonably designed to achieve compliance with securities laws and regulations governing ETF prospectus delivery. The Firm was censured and agreed to a fine of $3 million.
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