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https://www.law.cornell.edu/cfr/text/17/240.15c2-8
(e) Such broker or dealer shall take reasonable steps (1) to make available a copy of the preliminary prospectus relating to such securities to each of his associated persons who is expected, prior to the effective date, to solicit customers' order for such securities before the making...
https://www.law.cornell.edu/cfr/text/17/230.172
Any obligation under section 5(b)(2) of the Act to have a prospectus that satisfies the requirements of section 10(a) of the Act precede or accompany the carrying or delivery of a security in a registered offering is satisfied if the conditions in paragraph (c) of this section are met. (c)Conditions.
https://content.next.westlaw.com/Document/I1559f975eef211e28578f7ccc38dcbee/View/FullText.html?contextData=(sc.Default)
Registration and Prospectus Delivery Requirements Under the Securities Act: Chartby Practical Law Corporate & Securities Related Content Maintained • USA (National/Federal)A chart summarizing the relevant provisions of the Securities Act concerning timing for offers, sales, delivery of securities, and delivery of prospectuses by issuers, underwriters, brokers, or dealers to the purchasers of the offered securities.
https://www.securitieslawyer101.com/2014/prospectus-delivery-requirements/
In IPO’s, a final prospectus must be delivered to all investors with or before they purchase the security being offered. Final prospectus delivery obligations are satisfied when the Company files its final prospectus meeting the requirements of Section 10(a) of the Securities Act …
https://study.com/academy/lesson/delivery-of-prospectus-rules-requirements.html
Prospectuses are required documents prepared to provide all the necessary information to potential investors. A prospectus has to be approved by the Securities and Exchange Commission …
https://legacy.pli.edu/product_files/Titles/148/%23205949_04_Mutual_Fund_Regulation_P2_20170714142446.pdf
Section 5 also provides that it is unlawful for an issuer to use the mails or other means of interstate commerce to deliver its securities to purchasers unless the securities are accompanied or preceded by a prospectus that meets the requirements of section 10 of the Securities Act.File Size: 823KB
https://www.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
the requirements for the prospectus which will meet the requirements. of section 10(a) of the 1933 Act and which must be delivered to. all purchasers of a fund’s shares (referred to as the “statutory. prospectus”).
https://www.sec.gov/rules/final/2009/33-8998.pdf
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. Upon an investor’s request, mutual funds are also required to send the statutory
https://www.princeedwardisland.ca/en/information/justice-and-public-safety/81-502-blanket-order-matter-temporary-extension-certain-filing?wbdisable=true
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Blanket OrderDocument No: 81-502Subject: In the Matter of Temporary Extension of Certain Filing, Delivery and Prospectus Renewal Requirements of Investment FundsEffective Date: March 23, …
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