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https://finance.zacks.com/requirements-prospectus-delivery-mutual-funds-11356.html
The Securities and Exchange Commission sets the rules for the content and delivery of mutual fund prospectuses. These requirements are intended primarily for mutual fund management companies, but they are also meant for brokerages that sell mutual funds.
https://www.akingump.com/en/news-insights/sec-issues-final-rule-regarding-mutual-fund-and-etf-disclosure-requirements-and-adopts-new.html
Jan 28, 2009 · The rule also includes new requirements and alternative disclosures for exchange traded funds (ETFs). The SEC also adopted a new prospectus delivery regime to allow mutual funds to satisfy their obligations with the delivery of a “summary” prospectus and providing access to the statutory prospectus on their Web site as part of a layered disclosure system.
https://www.sec.gov/rules/final/2009/33-8998.pdf
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. Upon an investor’s request, mutual funds are also required to send the statutory
https://www.investmentexecutive.com/news/from-the-regulators/etfs-granted-exemptions-from-prospectus-requirements/
Aug 02, 2013 · Generally, ETFs only have to provide a prospectus for orders filled from a dealer’s inventory of so-called ‘creation units’, which are issued to dealers that are authorized to purchase newly issued securities directly from the fund and then sold on an exchange. They are not required for secondary market trades of previously issued securities.
https://www.law.cornell.edu/cfr/text/17/230.174
(g) If the registration statement relates to an offering of securities of a “blank check company,” as defined in Rule 419 under the Act (17 CFR 230.419), the statutory period for prospectus delivery specified in section 4(3) of the Act shall not terminate until 90 days after the date funds and securities are released from the escrow or ...
https://www.law.cornell.edu/cfr/text/17/240.15c2-8
(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://www.mofoiminsights.com/2014/12/finra-sanctions-member-firm-for-failure-to-deliver-etf-prospectuses/
Dec 19, 2014 · 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. The Firm was censured and agreed to a fine of $3 million.
https://www.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
Rule 430 under the 1933 Act permits the distribution of a 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
https://www.sec.gov/fast-answers/answersetfhtm.html
Nov 08, 2013 · Exchange-traded funds (ETFs) are SEC-registered investment companies that offer investors a way to pool their money in a fund that invests in stocks, bonds, or other assets. In return, investors receive an interest in the fund. Most ETFs are professionally managed by SEC-registered investment advisers.
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