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https://listingcenter.nasdaq.com/assets/continuedguide.pdf
For Nasdaq Global Select Market and Nasdaq Global Market Companies The financial and liquidity standards for continued listing are the same for companies trading on either the Nasdaq Global Select Market or the Nasdaq Global Market. Once listed, companies must meet all of the criteria under at least one of the three standards below.File Size: 238KB
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 access the complete prospectus.
https://listingcenter.nasdaq.com/assets/initialguide.pdf
shareholder requirements were revised to also require that at least half of the minimum required number of round lot holders must each hold unrestricted securities with a minimum value of $2,500....File Size: 251KB
https://www.law.cornell.edu/cfr/text/17/240.15c2-8
(c) Such broker or dealer shall take reasonable steps to furnish to any person who makes written request for a preliminary prospectus between the filing date and a reasonable time prior to the effective date of the registration statement to which such prospectus relates,...
https://www.investmentexecutive.com/news/from-the-regulators/etfs-granted-exemptions-from-prospectus-requirements/
Aug 02, 2013 · In Thursday’s OSC Bulletin, a series of exemption decisions have been published that provides exemptive relief to dealers from the prospectus delivery requirement; and, to ETFs to permit the funds’ prospectus to not contain an underwriter’s certificate and to include a modified statement of investors rights, as long as they file a summary ...
https://www.lw.com/thoughtLeadership/lw-us-ipo-guide
Summary 1 SUMMARY This Summary does not contain all of the information that you will need to successfully complete your IPO. You really should read this entire guide as well as the other Latham & Watkins publications
https://www.mofoiminsights.com/2014/12/finra-sanctions-member-firm-for-failure-to-deliver-etf-prospectuses/
Dec 19, 2014 · 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://media2.mofo.com/documents/130726-finra-late-prospectus.pdf
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 NASDAQ Rule 5705, which governs broker- dealer sales of ETFs, and FINRA’s business conduct rule.
https://www.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
the requirements for the prospectus which will meet the requirements. of section 10(a) of the 1933 Act and which must be delivered to. all purchasers of a fund’s shares (referred to as the “statutory. prospectus”).
https://www.sec.gov/rules/final/2009/33-8998.pdf
prospectus. The Commission is also adopting rule amendments that permit a person to 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.
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