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https://www.finra.org/rules-guidance/notices/95-42
On May 11, 1995, the Securities and Exchange Commission (SEC or Commission) approved amendments to its rules that would implement two alternative methodologies proposed by the securities industry to expedite the delivery of final prospectuses on public offerings of securities to accommodate the T+3 settlement cycle under SEC Rule 15c6-1.
https://www.finra.org/rules-guidance/notices/98-03
A list of current NASD Conduct Rules, Marketplace Rules, and Procedural Rules that require or permit communications between members and their customers for which electronic delivery may be used in accordance with the standards set forth in the SEC May 1996 and October 1995 Releases is …
https://www.sec.gov/rules/interp/34-42728.htm
May 04, 2000 · For example, if an issuer includes a hyperlink within a Section 10 prospectus, the hyperlinked information would become a part of that prospectus. 41 When embedded hyperlinks are used, 42 the hyperlinked information must be filed as part of the prospectus in the effective registration statement and will be subject to liability under Section 11 of the Securities Act. 43 In contrast, a hyperlink from an external document to a Section 10 prospectus …
https://media2.mofo.com/documents/130726-finra-late-prospectus.pdf
FINRA can use each of these rules against a firm failing to provide prospectuses on time. Section 5(b)(2)’s requirement of timely prospectus delivery also applies to the delivery of ETF prospectuses.
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.finra.org/rules-guidance/notices/19-31
Summary This Notice responds to questions that FINRA has received from members about how they can comply with FINRA rules when communicating with customers—particularly when using websites, email and other electronic media—while ensuring fair and balanced presentations. Our goal is to facilitate simplified and more effective disclosure in communications with the public.
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.finra.org/rules-guidance/guidance/faqs/advertising-regulation
A. FINRA Rule 2210(d)(5)(A) requires retail communications and correspondence that present non-money market fund open-end management investment company performance data as permitted by Securities Act Rule 482 and Investment Company Act Rule 34b-1 to disclose, among other things, the fund's total annual operating expense ratio, gross of any fee waivers or expense reimbursements, as …
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