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https://www.nyse.com/get-started/ipo-kit
The NYSE IPO guide is a comprehensive resource for companies around the world to understand the ins and outs of the complicated U.S. initial public offering process. The guide is now available in print, as an iPad application, as a Kindle edition, or as a PDF.
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.nyse.com/products/exchange-traded-products
NYSE Exchange Traded Products A variety of securities to meet your capital raising needs. Exchange traded products (ETPs), which include exchange traded funds (ETFs), exchange traded notes (ETNs) and exchange traded vehicles (ETVs), are one of the fastest growing investment products in the world. Their ability to combine the trading simplicity ...
https://finance.zacks.com/sec-prospectus-rules-3758.html
Delivery Format. Paragraph 10 of Section A in the Securities Act of 1933 defines a prospectus as not only a formal written offering, but also any circular, advertisement or letter that offers a ...
http://media.mofo.com/files/uploads/Images/130726-FINRA-Late-Prospectus.pdf
Please Mr. Postman: FINRA Cracks Down on Late Prospectus Delivery. By . Daniel A. Nathan. and Kerry C. Jones . FINRA has been engaged in a “stealth sweep” of firms’ untimely deliveries of mutual fund and ETF prospectuses that has resulted in formal disciplinary proceedings against twelve firms since 2011, and a total of over $5 million in ...File Size: 59KB
https://www.law.cornell.edu/cfr/text/17/240.15c2-8
(a) It shall constitute a deceptive act or practice, as those terms are used in section 15(c)(2) of the Act, for a broker or dealer to participate in a distribution of securities with respect to which a registration statement has been filed under the Securities Act of 1933 unless he complies with the requirements set forth in paragraphs (b) through (h) of this section.
https://www.finra.org/sites/default/files/fda_documents/2015046652401%20RBC%20Capital%20Markets%2C%20LLC%20CRD%2031194%20AWC%20jm%20%282019-1574468386405%29.pdf
additional failures to code ETF and ETN securities for prospectus delivery between July 2015 and October 2015. In July 2015, in response to the prospectus delivery coding errors, the Firm developed a surveillance procedure to identify prospectus delivery coding issues, but the Firm failed to properly implement the surveillance. The new procedure
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.
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 · SEC Issues Final Rule Regarding Mutual Fund and ETF Disclosure Requirements and Adopts New Prospectus Delivery Option [1] ... The SEC also adopted a new prospectus delivery regime to allow mutual funds to satisfy their obligations with the delivery of a “summary” prospectus and providing access to the statutory prospectus on their Web site ...
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