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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.sec.gov/news/press-release/2020-57
Mar 11, 2020 · Optional Method to Satisfy Prospectus Delivery Requirements for Underlying Mutual Funds. The new rule permits variable contracts to make the prospectuses for underlying mutual fund investment options, and other documents relating to those mutual funds, available online.
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://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 ...
https://www.law.cornell.edu/cfr/text/17/230.172
(3) The issuer has filed with the Commission a prospectus with respect to the offering that satisfies the requirements of section 10(a) of the Act or the issuer will make a good faith and reasonable effort to file such a prospectus within the time required under Rule 424 and, in the event that the issuer fails to file timely such a prospectus ...
https://www.morganlewis.com/-/media/files/docs/archive/glazer-publication_5810pdf.ashx
simply file a certificate to that effect pursuant to Rule 497(j). However, if a summary prospectus2 is delivered alone, it must be filed with the Commission pursuant to Rule 497(k) no later than the date it is first used, even if it is the same form as the material included in Part A. The SEC staff has indicated that each summary prospectus must be
https://study.com/academy/lesson/delivery-of-prospectus-rules-requirements.html
Prospectus Delivery. ... have been filed and accepted by the SEC but before the effective date of the offering. ... was provided in the prospectus. Rule 134 provides the ability for brokers and ...
http://media.mofo.com/files/uploads/Images/130726-FINRA-Late-Prospectus.pdf
Please Mr. Postman: FINRA Cracks Down on Late Prospectus Delivery. By . Daniel A. Nathan. and Kerry C. Jones . FINRA has been engaged in a “stealth sweep” of firms’ untimely deliveries of mutual fund and ETF prospectuses that has resulted in formal disciplinary proceedings against twelve firms since 2011, and a total of over $5 million in ...File Size: 59KB
https://www.finra.org/rules-guidance/notices/95-42
Executive Summary. On May 11, 1995, the Securities and Exchange Commission (SEC or Commission) approved amendments to its rules that would implement two alternative methodologies proposed by the securities industry to expedite the delivery of final prospectuses on public offerings of securities to accommodate the T+3 settlement cycle under SEC Rule 15c6-1.
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