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https://www.sec.gov/rules/final/2009/33-8998.pdf
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 given to investors in the form of a summary prospectus (“Summary Prospectus”), and the statutory prospectus will be provided on an Internet Web site.13 Funds that select this
https://finance.zacks.com/requirements-prospectus-delivery-mutual-funds-11356.html
The Securities and Exchange Commission sets the rules for the content and delivery of mutual fund prospectuses. These requirements are intended primarily for mutual fund management companies, but ...
https://study.com/academy/lesson/delivery-of-prospectus-rules-requirements.html
A prospectus must be given to investors prior to investing in many different situations in the investment industry. This lesson discusses the rules pertaining to delivering prospectuses to investors.
https://www.law.cornell.edu/cfr/text/17/240.15c2-8
Rules Relating to Over-the-Counter Markets; Section 240.15c2-8. Delivery of prospectus. 17 CFR § 240.15c2-8 - Delivery of prospectus. ... 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. ...
https://www.sec.gov/news/press-release/2020-57
Mar 11, 2020 · An investor who receives a contract summary prospectus will be able to request the contract's statutory prospectus and SAI be sent in paper or electronically, at no cost to the investor. Optional Method to Satisfy Prospectus Delivery Requirements for Underlying Mutual Funds
https://media2.mofo.com/documents/130726-finra-late-prospectus.pdf
use each of these rules against a firm failing to provide prospectuses on time. 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-
https://www.law.cornell.edu/cfr/text/17/230.174
The obligations of a dealer (including an underwriter no longer acting as an underwriter in respect of the security involved in such transactions) to deliver a prospectus in transactions in a security as to which a registration statement has been filed taking place prior to the expiration of the 40- or 90-day period specified in section 4(3) of the Act after the effective date of such ...
https://www.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
Chapter 4 Prospectus Disclosure and Delivery Requirements Michael Glazer Partner, Bingham McCutchen LLP [Chapter 4 is current as of April 1, 2010.] § …
https://finance.zacks.com/sec-prospectus-rules-3758.html
Delivery Format. Paragraph 10 of Section A in the Securities Act of 1933 defines a prospectus as not only a formal written offering, but also any circular, advertisement or letter that offers a ...
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