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https://www.law.cornell.edu/cfr/text/17/230.172
Section 230.172. Delivery of prospectuses. 17 CFR § 230.172 - Delivery of prospectuses. ... securities in an offering pursuant to a registration statement that contain information limited to that called for in Rule 10b-10 under the ... of this section shall not apply to transactions by dealers requiring delivery of a final prospectus pursuant ...
https://www.sec.gov/rules/final/33-8591.pdf
VI. Prospectus Delivery Reforms A. Current Prospectus Delivery Requirements B. Prospectus Delivery Revisions 1. Access Equals Delivery a. Rule 172 (i) Scope of Rule (ii) Comments on Rule 172 b. Exceptions to the Rule c. Notification (i) Rule 173 (ii) Comments on Rule 173 2. Written Confirmations and Notices of Allocations 3.
https://www.law.cornell.edu/cfr/text/17/230.174
Delivery of prospectus by dealers; exemptions under section 4(3) of the Act. ... the statutory period for prospectus delivery specified in section 4(3) ... prospectus, other than pursuant to paragraph (g) of this section, may be satisfied by compliance with the provisions of Rule 172 (§ 230.172).
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://casetext.com/regulation/code-of-federal-regulations/title-17-commodity-and-securities-exchanges/chapter-ii-securities-and-exchange-commission/part-230-general-rules-and-regulations-securities-act-of-1933/230172-delivery-of-prospectuses
Aug 03, 2005 · § 230.172 Delivery of prospectuses (a) Sending confirmations and notices of allocations. After the effective date of a registration statement, the following are exempt from the provisions of section 5(b)(1) of the Act if the conditions set forth in paragraph (c) of this section are satisfied:
https://www.skadden.com/insights/publications/2017/04/sec-adopts-t2-settlement-cycle
Apr 04, 2017 · The SEC rejected calls to expand the use of Rule 172 or electronic delivery to address any prospectus delivery obligation problems; rather, the SEC encouraged industry participants to bring to its attention for future consideration any operational difficulties that might arise from these or similar facts.
https://www.cooley.com/news/insight/2008/sec-posts-new-interps-re-the-securities-act
Dec 04, 2008 · Rule 172 is not available to satisfy the condition to the exception regarding delivery of the Section 10(a) prospectus. Rule 172 provides that a final 10(a) prospectus will be deemed to precede or accompany the carrying or delivery of a security for sale for purposes of Section 5(b)(2) and provides a conditional exemption from Section 5(b)(1 ...
https://www.cooley.com/news/insight/2009/securities-act-rules-interps
May 14, 2009 · A dealer may not rely on Rule 174 to not deliver a prospectus when the dealer is participating in the offering or is selling an unsold allotment. When Section 4(3) requires delivery of a prospectus, the dealer may rely on Rule 172 to satisfy its delivery obligation, except in the case of offerings of blank check companies.
https://www.govregs.com/regulations/title17_chapterII_part230_section230.172
Mar 24, 2020 · Provides the text of the 17 CFR 230.172 - Delivery of prospectuses. (CFR). ... securities in an offering pursuant to a registration statement that contain information limited to that called for in Rule 10b-10 under the ... of this section shall not apply to transactions by dealers requiring delivery of a final prospectus pursuant to section 4(3 ...
https://www.finra.org/rules-guidance/notices/95-42
PROSPECTUS DELIVERY; SECURITIES TRANSACTIONS SETTLEMENT. AGENCY: Securities and Exchange Commission. ACTION: Final rules. SUMMARY: The Commission is adopting revisions to its rules and forms and a new rule in order to implement two solutions to prospectus delivery issues arising in connection with the change to T + 3 securities transaction ...
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