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https://www.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
preliminary prospectus before the effective date of the registration statement, so long as the preliminary prospectus contains substan-tially all of the information in the final prospectus. Rule 481(b) under the 1933 Act specifies the form of a “subject to completion” legend that must appear on the outside front cover page of a preliminary
https://legacy.pli.edu/product_files/Titles/148/%23205949_04_Mutual_Fund_Regulation_P2_20170714142446.pdf
§ 4:5 Delivery Requirements § 4:5.1 Delivery of Preliminary Prospectus § 4:5.2 Delivery of Final Prospectus and Supplements [A] Initial Delivery [B] Summary Prospectus: Accessibility of Statutory Prospectus, SAI, and Shareholder Reports [C] Summary Prospectus: Delivery of Statutory Prospectus upon Request § 4:6 Use of Electronic MediaFile Size: 823KB
https://www.sec.gov/rules/final/2009/33-8998.pdf
prospectus. The Commission is also adopting rule amendments that permit a person to satisfy its mutual fund prospectus delivery obligations under Section 5(b)(2) of the Securities Act by sending or giving the key information directly to investors in the form of a summary prospectus and providing the statutory prospectus on an Internet Web site.
https://www.sec.gov/rules/interp/34-42728.htm
May 04, 2000 · (7) Company XYZ, which is engaged in a public offering of its securities, places its preliminary prospectus on its Internet web site. Each of the topics in the Table of Contents is a hyperlink, allowing investors to pick a topic and immediately be hyperlinked to the section in …
https://www.icsdelivery.com/cs-prospectus/formNew3
if, after enrolling in this electronic delivery service, you would like to receive a printed final prospectus for a particular mutual fund, ETF or UIT security, in addition to yout=r e-mail notification, Please contact your Relatioonship Manager. To Update your Information or Cancel Enrollment
https://www.law.cornell.edu/cfr/text/17/240.15c2-8
Electronic Code of Federal Regulations (e-CFR) Title 17. ... Section 240.15c2-8. Delivery of prospectus. 17 CFR § 240.15c2-8 - Delivery of prospectus. CFR ; Table of Popular Names ... such broker or dealer shall deliver a copy of the preliminary prospectus to any person who is expected to receive a confirmation of sale at least 48 ...
https://quizlet.com/216520398/regulations-securities-act-of-1933-flash-cards/
Start studying Regulations: Securities Act of 1933. Learn vocabulary, terms, and more with flashcards, games, and other study tools. ... The issuer can distribute a Preliminary Prospectus to interested parties. ... Electronic delivery of a prospectus is NOT permitted for. investment company issues.
https://www.finra.org/rules-guidance/notices/95-42
61/ Circulation of a second preliminary prospectus is not required by Rule 434 as adopted, but nothing in the Rule precludes offering participants from doing so. As adopted, Rule 434 is not limited with respect to the amount of time that could elapse between delivery of the preliminary prospectus and the term sheet.
https://quizlet.com/198313177/regulations-securities-act-of-1933-flash-cards/
Start studying Regulations: Securities Act of 1933. Learn vocabulary, terms, and more with flashcards, games, and other study tools. ... A preliminary prospectus may be sent to a prospective customer before the issue has entered into the 20 day cooling off period ... Electronic delivery of a prospectus is NOT permitted for: A. common stock issues
http://media.mofo.com/files/uploads/Images/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 ...File Size: 59KB
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