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https://www.finra.org/rules-guidance/notices/95-42
PROSPECTUS DELIVERY; SECURITIES TRANSACTIONS SETTLEMENT. AGENCY: Securities and Exchange Commission. ACTION: Final rules. SUMMARY: The Commission is adopting revisions to its rules and forms and a new rule in order to implement two solutions to prospectus delivery issues arising in connection with the change to T + 3 securities transaction ...
https://www.sec.gov/rules/final/2009/33-8998.pdf
ENHANCED DISCLOSURE AND NEW PROSPECTUS DELIVERY OPTION FOR REGISTERED OPEN-END MANAGEMENT INVESTMENT COMPANIES ... is adopting amendments to rules 159A,1 482,2 485,3 497,4 and 4985 under the Securities Act of 1933 ... option for satisfying prospectus delivery obligations with respect to mutual fund
https://www.finra.org/rules-guidance/rulebooks/retired-rules/rule-726
Every member and member organization shall deliver a current Prospectus of The Options Clearing Corporation to each customer who requests one. The term "current Prospectus of The Options Clearing Corporation" means the prospectus portion of Form S-20 that meets the delivery requirements of Rule 153b under the Securities Act of 1933, as amended.
https://finance.zacks.com/requirements-prospectus-delivery-mutual-funds-11356.html
Requirements for Prospectus Delivery Mutual Funds ... fund prospectuses according to the rules. As of July 2013, FINRA has fined six of the largest firms more than $5 million for late deliveries ...
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. In addition, the failure to deliver an ETF prospectus is a violation of …
https://www.mofoiminsights.com/2014/12/finra-sanctions-member-firm-for-failure-to-deliver-etf-prospectuses/
Dec 19, 2014 · FINRA recently sanctioned a broker-dealer (the “Firm”) for failure to deliver prospectuses in connection with its sale of ETFs. 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.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.law.cornell.edu/cfr/text/17/230.174
The obligations of a dealer (including an underwriter no longer acting as an underwriter in respect of the security involved in such transactions) to deliver a prospectus in transactions in a security as to which a registration statement has been filed taking place prior to the expiration of the 40- or 90-day period specified in section 4(3) of the Act after the effective date of such ...
https://finance.zacks.com/sec-prospectus-rules-3758.html
Delivery Format. Paragraph 10 of Section A in the Securities Act of 1933 defines a prospectus as not only a formal written offering, but also any circular, advertisement or letter that offers a ...
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