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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 · SEC Issues Final Rule Regarding Mutual Fund and ETF Disclosure Requirements and Adopts New Prospectus Delivery Option [1] ... 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 ...
https://www.finra.org/sites/default/files/fda_documents/2015046652401%20RBC%20Capital%20Markets%2C%20LLC%20CRD%2031194%20AWC%20jm%20%282019-1574468386405%29.pdf
additional failures to code ETF and ETN securities for prospectus delivery between July 2015 and October 2015. In July 2015, in response to the prospectus delivery coding errors, the Firm developed a surveillance procedure to identify prospectus delivery coding issues, but the Firm failed to properly implement the surveillance. The new procedure
https://media2.mofo.com/documents/faqs-exchange-traded-notes.pdf
FREQUENTLY ASKED QUESTIONS ABOUT EXCHANGE-TRADED NOTES ... For example, an ETN issuer may use a prospectus for $100,000,000 of ETNs and sell only $4,000,000 principal amount of ETNs (the minimum ... Frequently Asked Questions about Exchange-Traded Notes Frequently Asked Questions about Exchange-Traded Notes ...File Size: 235KB
https://www.lexology.com/library/detail.aspx?g=65cb27e1-5e0c-43e6-ae55-be85ac8679ea
Apr 09, 2014 · The SEC issues its long awaited sweep letter for ETN's Morrison & Foerster LLP ... The staff also requests information as to how these broker-dealers satisfy their prospectus delivery obligations ...
https://media2.mofo.com/documents/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 ...
https://www.morganlewis.com/-/media/files/publication/presentation/speech/etfs360_formulationregulationtrading_19april11.ashx
Prospectus Delivery – 1940 Act ETFs • §5(b)(2) of 1933 Act requires offer or sale of security to be accompanied or preceded by a §10 prospectus, unless exemption available – APs and broker-dealers acting as dealers are obligated to deliver a prospectus and …
https://www.law360.com/articles/604467/finra-fines-citi-3m-for-etf-prospectus-delivery-failures
FINRA Fines Citi $3M For ETF Prospectus Delivery Failures. By Ed Beeson. ... while Citi’s procedures required supervisors to run a monthly spot check of ETF sales to verify prospectus delivery ...Author: Ed Beeson
https://www.investmentexecutive.com/news/from-the-regulators/etfs-granted-exemptions-from-prospectus-requirements/
Aug 02, 2013 · In Thursday’s OSC Bulletin, a series of exemption decisions have been published that provides exemptive relief to dealers from the prospectus delivery requirement; and, to ETFs to permit the funds’ prospectus to not contain an underwriter’s certificate and to include a modified statement of investors rights, as long as they file a summary ...
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