We have collected information about Prospectus Delivery Rule for you. Follow the links to find out details on Prospectus Delivery Rule.
https://www.sec.gov/rules/final/2009/33-8998.pdf
prospectus. The Commission is also adopting rule amendments that permit a person to 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.
https://www.law.cornell.edu/cfr/text/17/240.15c2-8
§ 240.15c2-8 Delivery of prospectus. (a) It shall constitute a deceptive act or practice, as those terms are used in section 15(c)(2) ... (The 40-day and 90-day periods referred to above shall be deemed to apply for purposes of this rule irrespective of the provisions of paragraphs (b) ...
https://www.sec.gov/news/press-release/2020-57
Mar 11, 2020 · The new rule permits a person to satisfy its prospectus delivery obligations under the Securities Act for a variable contract by providing a summary prospectus to investors and making the statutory prospectus available online.
https://study.com/academy/lesson/delivery-of-prospectus-rules-requirements.html
Prospectus Delivery. ... including their performance beyond what was provided in the prospectus. Rule 134 provides the ability for brokers and dealers to discuss information about a public ...
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
(g) If the registration statement relates to an offering of securities of a “blank check company,” as defined in Rule 419 under the Act (17 CFR 230.419), the statutory period for prospectus delivery specified in section 4(3) of the Act shall not terminate until 90 days after the date funds and securities are released from the escrow or ...
https://www.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
Rule 430 under the 1933 Act permits the distribution of a preliminary prospectus before the effective date of the registration statement, so long as the preliminary prospectus contains substan-tially all of the information in the final prospectus. Rule 481(b) under the 1933 Act specifies the form of a “subject to completion” legend
https://www.finra.org/sites/default/files/fda_documents/2015046652401%20RBC%20Capital%20Markets%2C%20LLC%20CRD%2031194%20AWC%20jm%20%282019-1574468386405%29.pdf
comply with prospectus delivery rules for ETFs, ETNs and mutual funds and as a result, failed to discover the delivery failures until FINRA's investigation into the matter. During the Relevant Period, the Firm's prospectus delivery process for ETFs and ETNs involved manually inputting coding for individual securities into third-party
https://media2.mofo.com/documents/130726-finra-late-prospectus.pdf
Section 5(b)(2)’s requirement of timely prospectus delivery also applies to the delivery of ETF prospectuses. In addition, the failure to deliver an ETF prospectus is a violation of NASDAQ Rule 5705, which governs broker-dealer sales of ETFs, and FINRA’s business conduct rule. FINRA’S ENFORCEMENT ACTIONS
Searching for Prospectus Delivery Rule?
You can just click the links above. The data is collected for you.
