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https://www.sec.gov/rules/interp/34-42728.htm
May 04, 2000 · We first published our views on the use of electronic media to deliver information to investors in 1995. 11 The 1995 Release focused on electronic delivery of prospectuses, annual reports to security holders and proxy solicitation materials under the Securities Act of 1933, 12 the Securities Exchange Act of 1934 13 and the Investment Company ...
https://www.sec.gov/investment/im-guidance-updates.html
2017-04 - The Disclosure Review Process 2017-03 - Holding Companies and the Application of Rule 3a-2 under the Investment Company Act 2017-02 - Robo-Advisers 2017-01 - Inadvertent Custody: Advisory Contract Versus Custodial Contract Authority 2016-06 - Mutual Fund Fee Structures; see also Frequently Asked Questions on IM Guidance Update 2016-06 (Mutual Fund Fee Structures)
https://buckleyfirm.com/sites/default/files/Requirements_Pertaining_to_the_Electronic_Delivery_of_Required_Documents.pdf
consent to electronic delivery. SEC Interpretive Releases The SEC first published its views on the use of electronic media to deliver information to investors in 1995. The interpretive guidance in the 1995 Release addressed the electronic delivery of prospectuses, annual reports to securities holders and proxy solicitation mate-rials.File Size: 138KB
https://www.ria-compliance-consultants.com/2011/04/electronic-delivery-of-new-form-adv-part-2/
Apr 12, 2011 · Click here to view the SEC’s full rules regarding electronic delivery. Finally, regardless of whether the client has opted for electronic delivery, you investment adviser is required provide a paper copy of the Form ADV Part 2 whenever a paper copy is specifically requested by the client.
https://www.morganlewis.com/-/media/files/publication/outside-publication/article/compcorner_electronicdeliveryformadv.ashx
COMPLIANCE CORNER. guidelines regarding electronic delivery of information.” What Are the SEC’s Guidelines Regarding Electronic Delivery? The SEC has issued a series of interpretations on electronic delivery (principally in 1995, 1996 and 2000), through which it has made clear that electronic media may be used to satisfy
https://www.finra.org/sites/default/files/NoticeDocument/p004749.pdf
information, whether by electronic or paper means. The SEC release stated that the above standards are intended to per-mit broker/dealers to comply with their delivery obligations under the federal securities laws when using electronic media. While compliance with the guidelines is not mandatory for the electronic delivery of non-File Size: 28KB
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