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https://finance.zacks.com/requirements-prospectus-delivery-mutual-funds-11356.html
Prospectus Delivery. The SEC requires mutual fund managers to provide investors an Internet link to a fund's prospectus summary, along with a toll-free number and an e-mail address where they can ...
https://www.sec.gov/rules/final/2009/33-8998.pdf
of the prospectus, consisting of key information about the fund, including investment objectives and strategies, risks, costs, and performance. We are also adopting a new option for satisfying prospectus delivery obligations with respect to mutual fund securities under the Securities Act. Under the option, key information will be sent or
https://www.sec.gov/fast-answers/answersmfprospectustipshtm.html
Jul 28, 2010 · Mutual funds must provide a copy of the fund’s prospectus to shareholders after they purchase shares, but investors can – and should – request and read the fund’s prospectus before making an investment decision. There are two kinds of prospectuses: (1) the statutory prospectus; and (2) the Summary Prospectus.
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.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 ...
https://www.finra.org/rules-guidance/key-topics/mutual-funds
Jul 17, 2019 · FINRA does not regulate mutual funds directly, but regulates the broker-dealers and registered representatives that sell mutual funds. In this capacity, FINRA enforces rules on mutual fund advertising, sales practices, including the sales loads that broker-dealers may charge, the incentives provided to registered representatives and the execution of mutual fund portfolio transactions.
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 · A fund that uses a summary prospectus to meet the prospectus delivery requirements or to accompany other communications related to an offering must (1) send or give the summary prospectus to investors no later than the carrying or delivery of the fund security or the transmittal of those communications, (2) file the summary prospectus no later ...
https://study.com/academy/lesson/delivery-of-prospectus-rules-requirements.html
Prospectus Delivery. ... Helen is looking to invest $50,000 of her retirement account in Forward Mutual Fund. She is given a prospectus to read. She also requests a Statement of Additional ...
http://www.klgates.com/summary-prospectus-and-new-prospectus-delivery-option-for-mutual-funds-02-05-2009/
Feb 05, 2009 · The SEC has adopted an "improved mutual fund disclosure framework." The new rules call for a new summary section (Summary Section) to be placed at the beginning of the statutorily required full prospectus, and provide that a mutual fund may satisfy its prospectus delivery obligation by providing an investor a "Summary Prospectus" containing substantially the same information that is in …
https://finance.zacks.com/sec-prospectus-rules-3758.html
Mutual Funds. Mutual fund prospectuses must conform to specific rules regulated by the SEC. A mutual fund prospectus relates to investors the objectives and strategies, risks and performance of ...
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