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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.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
§ 4:1 Federal and State Registration Requirements Mutual fund prospectus disclosures are made in the context of registration of the fund and its shares under both the 1933 Act and the 1940 Act, which is described in this section. § 4:1.1 Registration Under the 1933 and 1940 Acts As mutual funds continuously offer and sell securities (their ...
https://www.sec.gov/rules/final/2009/33-8998.pdf
of the prospectus, consisting of key information about the fund, including investment objectives and strategies, risks, costs, and performance. We are also adopting a new option for satisfying prospectus delivery obligations with respect to mutual fund securities under the Securities Act. Under the option, key information will be sent or
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 · On January 13, 2009, the Securities and Exchange Commission (SEC) expanded the disclosure requirements of registered open-end investment companies to, among other things, create a new “summary” section at the beginning of each mutual fund’s statutory prospectus that will include previously required items and new items in a standard format.
https://legacy.pli.edu/product_files/Titles/148/%23205949_04_Mutual_Fund_Regulation_P2_20170714142446.pdf
§ 4:1 Federal and State Registration Requirements Mutual fund prospectus disclosures are made in the context of registration of the fund and its shares under both the Securities Act ... Prospectus Disclosure and Delivery Requirements § 4:1.2 (Mutual Fund Reg., Rel. #11, 7/17) 4–3 2nd Proofs 6/28/2017.File Size: 823KB
https://study.com/academy/lesson/delivery-of-prospectus-rules-requirements.html
They must also be delivered to potential investors in a mutual fund, exchange traded fund or unit investment trust. ... Delivery of Prospectus: Rules & Requirements Next Lesson. Notice of Sale for ...
https://finance.zacks.com/prospectuses-still-required-selling-mutual-funds-7871.html
Changes to Fund Requirements. In 2009, to simplify disclosure for fund investors, the SEC amended the prospectus requirements. Instead of a full statutory prospectus, mutual funds can now provide ...
https://www.finra.org/rules-guidance/key-topics/mutual-funds
Jul 17, 2019 · FINRA does not regulate mutual funds directly, but regulates the broker-dealers and registered representatives that sell mutual funds. In this capacity, FINRA enforces rules on mutual fund advertising, sales practices, including the sales loads that broker-dealers may charge, the incentives provided to registered representatives and the execution of mutual fund portfolio transactions.
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 ...
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