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https://study.com/academy/lesson/delivery-of-prospectus-rules-requirements.html
They must also be delivered to potential investors in a mutual fund, exchange traded fund or unit investment trust. ... Delivery of Prospectus: Rules & Requirements Next Lesson. Notice of Sale for ...
https://www.sec.gov/fast-answers/answersuithtm.html
Jan 16, 2013 · A"unit investment trust," commonly referred to as a "UIT," is one of three basic types of investment company. ... Investors will find the portfolio securities held by the UIT listed in its prospectus. A UIT does not have a board of directors, corporate officers, or an investment adviser to render advice during the life of the trust. ...
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://media2.mofo.com/documents/faq-unit-investment-trusts.pdf
FREQUENTLY ASKED QUESTIONS ABOUT UNIT INVESTMENT TRUSTS Understanding Unit Investment Trusts What is a “unit investment trust”? A unit investment trust (UIT) is a type of registered investment company under the Investment Company Act of 1940, as amended (the 1940 Act ). Generally, Section 3 of the 1940 Act defines an investment
https://www.investopedia.com/terms/u/uit.asp
Unit Investment Trust - UIT: A unit investment trust (UIT) is an investment company that offers a fixed portfolio, generally of stocks and bonds, as redeemable units to investors for a specific ...
https://www.sec.gov/rules/final/2009/33-8998.pdf
15 An open-end management investment company is an investment company, other than a unit investment trust or face-amount certificate company, that offers for sale or has outstanding any redeemable security of which it is the issuer. See Sections 4 and 5(a)(1) of the Investment Company Act [15 U.S.C. 80a-4 and 80a-5(a)(1)].
https://www.investopedia.com/articles/basics/09/unit-investment-trust.asp
Aug 18, 2019 · A unit investment trust (UIT) is a U.S. investment company that buys and holds a portfolio of stocks, bonds or other securities. UITs share some similarities with two other types of investment ...
https://www.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
Prospectus Disclosure and Delivery Requirements Michael Glazer Partner, Bingham McCutchen LLP [Chapter 4 is current as of April 1, 2010.] § 4:1 Federal and State Registration Requirements § 4:1.1 Registration Under the 1933 and 1940 Acts § 4:1.2 The Federal Registration Process [A] Applicable Forms [B] Automatic Effectiveness—Delaying ...
https://www.sec.gov/rules/final/33-7766.htm
Action: Final rule. Summary: The Commission is adopting a new rule under the Securities Act of 1933 to permit issuers and broker-dealers to satisfy the Act's prospectus delivery requirements, with respect to two or more investors sharing the same address, by sending a single prospectus, subject to certain conditions. We are adopting similar ...
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