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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
FINRA is here to help keep investors and their investments safe. To ensure this protection, we enact rules and publish guidance for securities firms and brokers. We involve a number of interested parties in rulemaking deliberations so that broker-dealers and investors can have confidence they are collaborating on a level playing field. Our relationship to these participants, as well as the SEC ...
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://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://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
Rules Relating to Over-the-Counter Markets; Section 240.15c2-8. Delivery of prospectus. 17 CFR § 240.15c2-8 - Delivery of prospectus. ... in order to enable him to comply with the prospectus delivery requirements of section 5(b) (1) and (2) of the Securities Act of 1933. ...
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://www.businesswire.com/news/home/20090625005656/en/FINRA-Fines-Wachovia-Securities-1.4-Million-Prospectus
Jun 25, 2009 · FINRA Fines Wachovia Securities $1.4 Million for Prospectus Delivery Failures, Related Supervisory Violations ... laws and FINRA rules to deliver hard-copy prospectuses to prospective investors ...
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