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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.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
§ 4:1 Federal and State Registration Requirements 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 ...
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.akingump.com/en/news-insights/sec-issues-final-rule-regarding-mutual-fund-and-etf-disclosure-requirements-and-adopts-new.html
Jan 28, 2009 · On January 13, 2009, the Securities and Exchange Commission (SEC) expanded the disclosure requirements of registered open-end investment companies to, among other things, create a new “summary” section at the beginning of each mutual fund’s statutory prospectus that will include previously required items and new items in a standard format.
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://legacy.pli.edu/product_files/Titles/148/%23205949_04_Mutual_Fund_Regulation_P2_20170714142446.pdf
the conduct of funds, which are subject to extensive substantive regulation under the Investment Company Act.” Investment Company Act Release No. 23,064, at n.221 (June 1, 1998). This remains a goal that is not always achieved. Prospectus Disclosure and Delivery Requirements § 4:1.2 (Mutual Fund Reg., Rel. #11, 7/17) 4–5 2nd Proofs 6/28/2017
https://study.com/academy/lesson/delivery-of-prospectus-rules-requirements.html
Prospectuses also need to be prepared and provided to investors in mutual funds, exchange traded funds, ... Delivery of Prospectus: Rules & Requirements Next Lesson. Notice of Sale for Municipal ...
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.thebalance.com/the-summary-prospectus-2466681
Oct 31, 2019 · The SEC also adopted a rule that allows a summary prospectus to satisfy prospectus delivery requirements as long as the summary prospectus, the full, statutory prospectus, and other required information is available online.
https://www.investmentexecutive.com/news/from-the-regulators/etfs-granted-exemptions-from-prospectus-requirements/
Aug 02, 2013 · The decisions indicate that the exemptions which will take effect Sept. 1, and expire in two years (Sept. 1, 2015) reflect the Canadian Securities Administrators’ (CSA) plan to expand its point of sale disclosure initiative (substituting Fund Facts disclosure for prospectus disclosure) to other sorts of investment funds, not just mutual funds; and, its plans to codify new alternative ...
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