Mutual fund prospectus delivery rule: free download. On-line document store on 5y1.org

[DOC File]Exchange Traded Funds (ETFs) and Exchange Traded Notes …
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Mutual funds are operated by professional money managers, who allocate the fund’s assets and attempt to produce capital gains or income for the fund’s investors. A mutual fund’s portfolio is structured and maintained to match the investment objectives stated in its prospectus. The combined holdings of the mutual fund are known as its ...
summary prospectus delivery requirements

[DOC File]National Association for Variable Annuities
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i. proposed rule 6c-11 (and, with respect to exemptions from section 12(d)(1) exemptions, proposed rule 12d1-4) would codify substantially all of the 1940 Act exemptions heretofore granted by SEC order, with the exception of (a) relief granted to ETFs organized as UITs and (b) prospectus delivery relief (see D.2.b. below) ii.
finra prospectus delivery rule

[DOC File]Chapters 1&2 - Investments, Investment Markets, and ...
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Because each fund family may have different rules for qualification, you should discuss these issues with your registered representative and review the mutual fund prospectus and Statement of Additional Information to determine the specific terms upon which a …
etf prospectus delivery obligations

[DOC File]Table of Contents
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The Department of Labor has approved the use of the new mutual fund Summary Prospectus to satisfy the prospectus delivery requirement for defined contribution plans. In Field Assistance Bulletin No. 2009-3, the DoL has indicated that the new Summary Prospectus conceived by the SEC will satisfy a fiduciary's obligations to delivery a prospectus ...
prospectus delivery requirements finra

19-11
Mutual fund advertising has emerged as one of the most important sources of information for individual investors when making mutual fund investment decisions (Capon, Fitzsimmons, and Prince 1996) and fund companies have increasingly used advertising as a communication vehicle to reach mutual fund investors (Geer 1997; Walbert 1997).
prospectus delivery time requirements chart

[DOC File]Securities Act - R.R.O. 1990, Reg. 1015
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Mutual funds are common names for open-end investment companies. More than 90% of mutual funds are open-end funds. Capital gains vs. current income. Investment policy: each fund has its policy contained in the fund’s prospectus. Money market funds: invested in short-term and low-risk instruments
mutual fund prospectus requirements

Small Entity Compliance Guide: Enhanced Disclosure and New Pros…
Prospectus Delivery Requirements. Pursuant to Section 5(b) of the 1933 Act, mutual fund prospectuses generally must be provided to investors upon a sale of shares. Although not required to be delivered initially to all investors, the SAI must be sent to investors upon request.
prospectus delivery rules

[DOCX File]Microsoft Word
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The prospectus of a commodity pool, as defined in National Instrument 81-101 Mutual Fund Prospectus Disclosure, or of a scholarship plan shall be prepared in …
sec prospectus delivery rule grid

[DOC File]OATS REPORTING APPLICABLE TO OTC EQUITIES (12/12/06)
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In addition, investment management fees, 12b-1 fees, or other fees and expenses specific to individual funds may be charged to the member’s SDBA. It is the member’s sole responsibility to be aware of and understand the commissions and fees as described in the Commission and Fee Schedule and in the prospectus of any mutual fund.
summary prospectus delivery requirements

Mutual fund prospectus delivery rule