We have collected information about Mutual Fund Prospectus Delivery Obligation for you. Follow the links to find out details on Mutual Fund Prospectus Delivery Obligation.
https://finance.zacks.com/requirements-prospectus-delivery-mutual-funds-11356.html
Within three business days of receiving a request from an investor for the print version of the full prospectus, a fund company must send it by first-class mail.
https://www.findknowdo.com/news/04/12/2019/sec-provides-guidance-mutual-fund-prospectus-delivery-obligations
SEC Provides Guidance on Mutual Fund Prospectus Delivery Obligations. In a guidance letter to certain parties, the SEC Division of Corporation Finance clarified that a broker-dealer may satisfy its prospectus delivery obligation, under Securities Act Section 5(b)(2), by delivering a prospectus to an investment adviser rather than to...
https://study.com/academy/lesson/delivery-of-prospectus-rules-requirements.html
They must also be delivered to potential investors in a mutual fund, exchange traded fund or unit investment trust. Mark is looking to invest in a new public offering of common stock by ABC Corp.
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.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
Mutual fund prospectus disclosures are made in the context of registration of the fund and its shares under both the 1933 Act and the 1940 Act, which is described in this section. § 4:1.1 Registration Under the 1933 and 1940 Acts As mutual funds continuously offer and sell securities (their shares)
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 registration statement or prior to the …
http://www.klgates.com/summary-prospectus-and-new-prospectus-delivery-option-for-mutual-funds-02-05-2009/
Feb 05, 2009 · Under the new rule, a mutual fund may satisfy its prospectus delivery obligations by delivering only the Summary Prospectus to investors as …
http://media.mofo.com/files/uploads/Images/130726-FINRA-Late-Prospectus.pdf
failures to provide new customers with a timely mutual fund prospectus as required by the Securities Act. Fines in the eight cases ranged from $40,000 to $1,000,000 for failures to provide prospectuses on time and to establish policies to monitor and ensure timely delivery. FINRA found that each firm had delivered between 2,500 andFile Size: 59KB
https://www.mminst.org/mmi-news/constructive-delivery-mutual-fund-prospectuses-discretionary-investment-advisers
"For purposes of Section 5(b)(2) of the Securities Act, the Division is of the view that a broker-dealer may satisfy its obligations under Section 5(b)(2) to deliver a prospectus to a client of an investment adviser purchasing shares of a Mutual Fund by delivering the Mutual Fund prospectus to the investment adviser so long as the broker-dealer has actual knowledge that the client has authorized the …
Searching for Mutual Fund Prospectus Delivery Obligation?
You can just click the links above. The data is collected for you.
