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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 registration statement or prior to the …
https://www.law.cornell.edu/cfr/text/17/240.15c2-8
§ 240.15c2-8 Delivery of prospectus. (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://study.com/academy/lesson/delivery-of-prospectus-rules-requirements.html
Prospectus Delivery. The purpose of a prospectus is to inform the public so that an investor makes an informed decision knowing the risks of the investment.
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.
https://media2.mofo.com/documents/130726-finra-late-prospectus.pdf
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- dealer sales of ETFs, and FINRA’s business conduct rule.
https://www.mminst.org/mmi-news/constructive-delivery-mutual-fund-prospectuses-discretionary-investment-advisers
We are pleased to share a significant and positive outcome to MMI's advocacy efforts to advance the interests of our members by obtaining guidance from the SEC staff that a broker-dealer can satisfy its prospectus delivery obligations under the federal securities laws by delivering prospectuses to investment advisers in managed account programs instead of their clients.
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 access the complete prospectus.
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.
https://www.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
[C] Summary Prospectus: Delivery of Statutory Prospectus Upon Request § 4:6 Use of Electronic Media § 4:6.1 Consent to Electronic Delivery § 4:6.2 Notice, Access, and Proof of Delivery § 4:6.3 Hyperlinks § 4:1 Federal and State Registration Requirements Mutual fund prospectus disclosures are made in the context of
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