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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] Investment Funds Alert, January 28, ... A fund that uses a summary prospectus to meet the prospectus delivery requirements or to accompany other communications related to an offering must (1) ... Exchange Traded Funds, ...
https://media2.mofo.com/documents/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 ...
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 ...
https://www.mofoiminsights.com/2014/12/finra-sanctions-member-firm-for-failure-to-deliver-etf-prospectuses/
Dec 19, 2014 · FINRA recently sanctioned a broker-dealer (the “Firm”) for failure to deliver prospectuses in connection with its sale of ETFs. 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://advisorhub.com/goldman-sachs-fined-700000-failing-deliver-etf-prospectuses/
Dec 04, 2017 · Goldman Sachs Fined $700,000 for Failing to Deliver ETF Prospectuses ... The primary cause of the prospectus delivery problem was a design flaw that Goldman failed to identify when it …
https://www.finra.org/investors/learn-to-invest/types-investments/investment-funds/exchange-traded-fund
Exchange-traded funds (ETFs) combine aspects of mutual funds and conventional stocks. Like a mutual fund, an ETF is a pooled investment fund that offers an investor an interest in a professionally managed, diversified portfolio of investments. But unlike mutual funds, ETF shares trade like stocks on stock exchanges and can be bought or sold throughout the trading day at fluctuating prices.
https://www.sec.gov/fast-answers/answersetfhtm.html
Nov 08, 2013 · Exchange-traded funds (ETFs) are SEC-registered investment companies that offer investors a way to pool their money in a fund that invests in stocks, bonds, or other assets. In return, investors receive an interest in the fund. Most ETFs are professionally managed by SEC-registered investment advisers.
https://www.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
Prospectus Disclosure and Delivery Requirements Michael Glazer Partner, Bingham McCutchen LLP [Chapter 4 is current as of April 1, 2010.] § 4:1 Federal and State Registration Requirements § 4:1.1 Registration Under the 1933 and 1940 Acts § 4:1.2 The Federal Registration Process [A] Applicable Forms [B] Automatic Effectiveness—Delaying ...
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/17/240.15c2-8
Delivery of prospectus. 17 CFR § 240.15c2-8 - Delivery of prospectus. CFR ; Table of Popular Names ... 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) ...
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