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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.law.cornell.edu/cfr/text/17/230.174
(a) No prospectus need be delivered if the registration statement is on Form F-6 (§ 239.36 of this chapter). (b) No prospectus need be delivered if the issuer is subject, immediately prior to the time of filing the registration statement, to the reporting requirements of section 13 or 15(d) of the Securities Exchange Act of 1934.
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.ebglaw.com/news/department-of-labor-allows-summary-prospectus-delivery-to-401k-plan-participants/
Sep 23, 2009 · Although a prospectus can be delivered electronically, DOL regulations (section 2520.104b-1(c)(2)) require affirmative consent to electronic delivery for anyone other than an employee who can effectively access documents on an electronic system at his or her workplace and must access the electronic system as an integral part of his or her duties.
https://legacy.pli.edu/product_files/Titles/148/32842_sample4_20141011115534.pdf
[C] Summary Prospectus: Delivery of Statutory Prospectus Upon Request § 4:6 Use of Electronic Media § 4:6.1 Consent to Electronic Delivery § 4:6.2 Notice, Access, and Proof of Delivery § 4:6.3 Hyperlinks § 4:1 Federal and State Registration Requirements Mutual fund prospectus disclosures are made in the context of registration of the fund ...
https://www.finra.org/rules-guidance/notices/95-42
6/ Some of these timing difficulties can be expected to be alleviated as markets increasingly rely on non-paper delivery media. In recognition of that development, the staff issued an interpretive letter to facilitate the use of electronic transmission to satisfy prospectus delivery requirements…
https://content.next.westlaw.com/Document/I0fa03519ef0811e28578f7ccc38dcbee/View/FullText.html?contextData=(sc.Default)
Form S-8 Considerations: Prospectus Disclosure and Annual Reportsby Practical Law Corporate & Securities Related Content Maintained • USA (National/Federal)An overview of the issuer's obligation to update and deliver the information constituting the Section 10(a) prospectus during an offering of securities registered on Form S-8.
https://media2.mofo.com/documents/130726-finra-late-prospectus.pdf
Firms should also be aware of the availability of electronic delivery of prospectuses. In general, the federal securities laws do not require delivery in a particular medium and Securities Act Release No. 7233 (Oct. 6, 1995) states that electronic delivery, when reliability is comparable to paper delivery, can satisfy statutory requirements.
https://www.investopedia.com/terms/p/prospectus.asp
Prospectus: A prospectus is a formal legal document that is required by and filed with the Securities and Exchange Commission that provides details about an investment offering for sale to the ...
http://lafayetteinvestments.com/vision/prosdel_methods.html
PROSPECTUS DELIVERY METHODS. Important prospectus delivery information for customers of Lafayette Investments, Inc. In January 2008, First Clearing and Lafayette Investments, Inc. adopted the “Access Equals Delivery” (AED) model which presumes that investors have access to the Internet, and permits securities issuers and their intermediaries to satisfy their prospectus delivery ...
http://kbpensionservices.com/files/9513/7347/0030/A_Guide_to_Electronic_Delivery_of_Participant_Disclosure_Materials.pdf
IRS Electronic Media Guidance provides two methods of electronic delivery of plan information. First, there is the “General Method,” which has system, consent and notice requirements that are substantially similar to the requirements under the DOL’s Electronic Disclosure Safe Harbor.
https://corporate.findlaw.com/law-library/sec-issues-interpretive-release-on-use-of-electronic-media.html
SEC Issues Interpretive Release On Use Of Electronic Media. Find out more about this topic, read articles and blogs or research legal issues, cases, and codes on FindLaw.com.
https://quizlet.com/216520398/regulations-securities-act-of-1933-flash-cards/
Start studying Regulations: Securities Act of 1933. Learn vocabulary, terms, and more with flashcards, games, and other study tools. ... Electronic Delivery (Access to equals delivery) Quiet Period ... Electronic delivery of a prospectus is NOT permitted for. investment company issues.
https://www.morganlewis.com/pubs/sec-approves-e-delivery-of-shareholder-reports-requests-comments-on-other-areas
The rule is not mandatory, so funds can choose to continue transmitting hard copies of shareholder reports or to electronically deliver reports to those shareholders who have consented to electronic delivery, pursuant to the Securities and Exchange Commission’s (SEC’s) prior guidance in this area. Notice Requirements
https://www.dol.gov/agencies/ebsa/employers-and-advisers/guidance/technical-releases/11-03
Sep 13, 2011 · Technical Release No. 2011-03. Interim Policy on Electronic Disclosure Under 29 CFR 2550.404a-5 ... is limited to individuals who meet the requirements of one of the following classifications: ... The plan administrator takes appropriate and necessary measures reasonably calculated to ensure that the electronic delivery system results in actual ...
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