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https://www.sec.gov/divisions/enforce/datadeliverystandards.pdf
The SEC cannot accept productions made using file sharing sites such as Google Drive, Microsoft Office 365 or Dropbox. 13. Productions containing BSA or SAR material must be delivered on encrypted physical media. The SEC accept cannot electronic transmission of BSA or SAR material.File Size: 302KB
https://www.sec.gov/rules/interp/34-42728.htm
May 04, 2000 · We believe that an investor may give a global consent to electronic delivery -- relating to all documents of any issuer -- so long as the consent is informed. 26 Given the broad scope of a global consent and its effect on an investor's ability to receive important documents, we believe intermediaries should take particular care to ensure that the investor understands that he or she is providing a global consent to electronic delivery…
https://www.sec.gov/rules/concept/33-7233.txt
The Commission would view information distributed through electronic means as satisfying the delivery or transmission requirements of the federal securities laws if such distribution results in the delivery -[21]- to the intended recipients of substantially equivalent information as these recipients would have had if the information were delivered to them in paper form. -[22]- As is the case with paper delivery, …
https://www.sec.gov/spotlight/investor-advisory-committee-2012/recommendation-promotion-of-electronic-delivery-and-development.pdf
the SEC’s 30e-3 proposal without presenting the same concerns that disclosure effectiveness would be compromised. 1 Electronic delivery of disclosure has been permitted under guidance adopted by the Securities and Exchange Commission (SEC) in the mid-1990s, subject to notice, access, and delivery requirements. See, e.g., SEC Release
https://www.sec.gov/news/press-release/2018-103
Jun 05, 2018 · SEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure . FOR IMMEDIATE RELEASE 2018-103 ... instructions by which an investor can elect to receive shareholder reports or other documents by electronic delivery, and (2) additional content from the shareholder report.
https://www.uschamber.com/series/above-the-fold/sec-s-e-delivery-rule-common-sense-reform-investors
E-delivery was first proposed in 2015 and is part of the SEC’s efforts to modernize reporting systems to meet the needs and preferences of today’s investors. Many investors would prefer the option of viewing shareholder statements online as opposed to poring through hundreds of …
https://www.ria-compliance-consultants.com/2011/04/electronic-delivery-of-new-form-adv-part-2/
Apr 12, 2011 · The U.S. Securities and Exchange Commission (“SEC”) will permit an investment adviser to deliver the Form ADV Part 2 electronically; however, certain conditions must be met. The following are some of the key requirements. First, prior to electronic delivery, your investment adviser must obtain consent from the client.
https://www.law.cornell.edu/cfr/text/17/275.204-3
(b) Delivery requirements. Subject to paragraph (g), you (or a supervised person acting on your behalf) must: (1) Deliver to a client or prospective client your current brochure before or at the time you enter into an investment advisory contract with that client. (2)...
https://buckleyfirm.com/sites/default/files/Requirements_Pertaining_to_the_Electronic_Delivery_of_Required_Documents.pdf
Although the Electronic Delivery Releases and ESIGN are generally compatible, the con-sumer consent requirements in ESIGN impose specific requirements that providers must meet that go beyond what the SEC set forth in the Electronic Delivery Releases. Although the SEC adopted a rule that exempts from the ESIGN consumer consent requirementsFile Size: 138KB
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