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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 · A fund that uses a summary prospectus to meet the prospectus delivery requirements or to accompany other communications related to an offering must (1) send or give the summary prospectus to investors no later than the carrying or delivery of the fund security or the transmittal of those communications, (2) file the summary prospectus no later ...
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 · 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.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) Nov. 8, 2013 ... Before investing in an ETF, you should read its summary prospectus and its full prospectus, which provide detailed information on the ETF’s investment objective, principal investment strategies, risks, costs, and historical performance (if any).
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
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://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 prev next § 240.15c2-8 ... in order to enable him to comply with the prospectus delivery requirements of section 5(b) (1) and (2) of the Securities Act of 1933. ...
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