Electronic Delivery Prospectus Requirement

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Prospectus Disclosure and Delivery Requirements

    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 …

Prospectus Disclosure 6/28/2017 and Delivery Requirements

    https://legacy.pli.edu/product_files/Titles/148/%23205949_04_Mutual_Fund_Regulation_P2_20170714142446.pdf
    § 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 Media § 4:6.1 Consent to Electronic Delivery § 4:6.2 Notice, Access, and Proof of ...File Size: 823KB

34-42728 - SEC

    https://www.sec.gov/rules/interp/34-42728.htm
    May 04, 2000 · We first published our views on the use of electronic media to deliver information to investors in 1995. 11 The 1995 Release focused on electronic delivery of prospectuses, annual reports to security holders and proxy solicitation materials under the Securities Act of 1933, 12 the Securities Exchange Act of 1934 13 and the Investment Company ...

Final Rule: Enhanced Disclosure and New Prospectus ...

    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.

SEC Updates Internet Guidance WilmerHale

    https://www.wilmerhale.com/en/insights/publications/sec-updates-internet-guidance-may-2000
    May 01, 2000 · The release clarifies several issues relating to electronic delivery: Telephonic Consent. The SEC's prior releases provided that the evidence of delivery requirement is satisfied if the recipient provides informed consent to receive electronic deliveries, and that informed consent could be provided by written or electronic means.

Requirements for Prospectus Delivery Mutual Funds ...

    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 ...

Please Mr. Postman: FINRA Cracks Down on Late Prospectus ...

    https://media2.mofo.com/documents/130726-finra-late-prospectus.pdf
    Firms should also be aware of the availability of electronic delivery of prospectuses. In general, the federal securities laws do not require delivery in a particular medium and Securities Act Release No. 7233 (Oct. 6, 1995) states that electronic delivery, when reliability is comparable to paper delivery, can satisfy statutory requirements.

17 CFR § 275.204-3 - Delivery of brochures and brochure ...

    https://www.law.cornell.edu/cfr/text/17/275.204-3
    (a) General requirements. If you are registered under the Act as an investment adviser, you must deliver a brochure and one or more brochure supplements to each client or prospective client that contains all information required by Part 2 of Form ADV [17 CFR 279.1].(b) Delivery requirements. Subject to paragraph (g), you (or a supervised person acting on your behalf) must:

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