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https://quizlet.com/198313177/regulations-securities-act-of-1933-flash-cards/
The "access equals delivery" rule that permits electronic delivery of a prospectus (instead of paper) to those customers that have internet access is permitted for all securities offerings with the exception of investment company issues. For example, the purchaser of a mutual fund must still get a paper prospectus.
https://www.sec.gov/rules/interp/34-42728.htm
May 04, 2000 · (3) In seeking a global consent to electronic delivery from Investor John Doe, Broker DEF specifies that the electronic media that may be used to deliver documents will be CD-ROM, an Internet web site, electronic mail or facsimile transmission, and further advises John Doe that if he does not have access to all of these media he should not ...
https://www.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
under the 1933 Act. If the versions do not differ from the forms in the registration statement when declared effective, then the fund can simply file a certificate to that effect pursuant to Rule 497(j). However, if a summary prospectus2 is delivered alone, it must be filed with the Commission pursuant to Rule 497(k) no later than the date it is
https://www.sec.gov/spotlight/investor-advisory-committee-2012/recommendation-promotion-of-electronic-delivery-and-development.pdf
delivery of a summary document could produce many of the cost savings associated with the SEC’s 30e-3 proposal without presenting the same concerns that disclosure effectiveness would be compromised. 1 Electronic delivery of disclosure has been permitted under guidance adopted by …
https://buckleyfirm.com/sites/default/files/Requirements_Pertaining_to_the_Electronic_Delivery_of_Required_Documents.pdf
the electronic delivery requirements set forth in its Electronic Delivery Releases is sufficient, it would be helpful for the SEC to issue updated guidance and further exemptions to clarify the issue. In addition, even if not required, advisers, broker-dealers and other …File Size: 138KB
https://www.wilmerhale.com/en/insights/publications/sec-updates-internet-guidance-may-2000
May 01, 2000 · On April 28, 2000, the SEC published an interpretive release, Release No. 33-7856, providing guidance on the use of the Internet and other electronic media.The release covers a number of topics of great importance to public companies, broker-dealers and …
https://www.osc.gov.on.ca/en/SecuritiesLaw_rule_20131031_11-501_electronic-delivery.htm
Oct 31, 2013 · On October 22, 2013, the Ontario Securities Commission (the OSC, the Commission or we) made as a rule under the Securities Act, OSC Rule 11-501 Electronic Delivery of Documents to the Ontario Securities Commission (the Rule), and adopted consequential amendments to National Policies 11-202 Process for Prospectus Reviews in Multiple ...
https://www.morganlewis.com/pubs/sec-approves-e-delivery-of-shareholder-reports-requests-comments-on-other-areas
The rule is not mandatory, so funds can choose to continue transmitting hard copies of shareholder reports or to electronically deliver reports to those shareholders who have consented to electronic delivery, pursuant to the Securities and Exchange Commission’s (SEC’s) prior guidance in this area. Notice Requirements
http://www.klgates.com/saving-trees-sec-allows-notice--access-delivery-of-shareholder-reports-08-15-2018/
Aug 15, 2018 · A summary prospectus may provide instructions describing how a shareholder can elect to receive prospectuses or other documents and communications by electronic delivery (electronic delivery election instructions). ... The Proposed Rule would not have permitted the Notice to be incorporated or combined with another Notice.
https://www.mondaq.com/canada/shareholders/888794/csa-propose-electronic-delivery-of-prospectuses-and-other-continuous-disclosure-documents
Initial focus would be on the electronic delivery of prospectuses, financial statements and MD&A; however, the CSA is also interested in extending electronic delivery to other types of documents, including rights offering materials, proxy-related materials and take-over bid and issuer bid circulars.
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