Mutual fund prospectus requirements

    • Can a prospectus be delivered directly to an investor?

      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.

    • What is the final rule for mutual funds?

      ACTION:Final rule. SUMMARY:The Securities and Exchange Commission is adopting amendments to the form used by mutual funds to register under the Investment Company Act of 1940 and to offer their securities under the Securities Act of 1933 in order to enhance the disclosures that are provided to mutual fund investors.

    • [PDF File]National Instrument 81-101 Mutual Fund Prospectus …

      https://info.5y1.org/mutual-fund-prospectus-requirements_1_cc1088.html

      This document is an unofficial consolidation of all amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure, effective as of January 3, 2019. This document is for reference purposes only. ... General Prospectus Requirements in the form that was in effect from March 17, 2008 until May 14, 2013, or

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    • [PDF File]New Mutual Fund Summary Prospectus Rules - …

      https://info.5y1.org/mutual-fund-prospectus-requirements_1_e513cf.html

      that by the end of 2010 all mutual fund prospectuses will include the new summary sections, although some (perhaps many) fund firms may choose never to use the summary prospectus as a stand-alone selling document. The new summary format can be implemented by funds on an optional basis as early as March 31, 2009.

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    • [PDF File]Prospectus Disclosure 6/28/2017 and Delivery Requirements

      https://info.5y1.org/mutual-fund-prospectus-requirements_1_8d24c5.html

      § 4:1 Federal and State Registration Requirements Mutual fund prospectus disclosures are made in the context of registration of the fund and its shares under both the Securities Act of 1933 (the “Securities Act”) and the Investment Company Act of 1940 (“Investment Company Act”), which is described in this section.

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    • [PDF File]SECURITIES AND EXCHANGE COMMISSION

      https://info.5y1.org/mutual-fund-prospectus-requirements_1_768c48.html

      requirements will give investors more infonnation upon which to evaluate the perfonnance of mutual funds and the individuals responsible for that perfonnance. A. Financial Highlights The Commission proposed substantial revisions to the condensed fmancial infonnation ("per share table") contained in mutual fund prospectuses to shorten and

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    • [PDF File]ADVERTISING THE MUTUAL FUND I. MUTUAL FUND …

      https://info.5y1.org/mutual-fund-prospectus-requirements_1_1886ef.html

      the disclosures found in a statutory prospectus, as follows: 1. Fund Profile/Summary – Form N-1A and Rule 498: Mutual funds may satisfy their prospectus delivery requirements by providing an investor with a “Summary Prospectus.” The Summary Prospectus must provide investors with a summary of key information about a fund presented in a

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    • NATIONAL INSTRUMENT 81-101 MUTUAL FUND …

      MUTUAL FUND PROSPECTUS DISCLOSURE FORM 81-101F1 CONTENTS OF SIMPLIFIED PROSPECTUS GENERAL INSTRUCTIONS: General (1) This Form describes the disclosure required in a simplified prospectus of a mutual fund. Each Item of this Form outlines disclosure requirements. Instructions to help you provide this disclosure are printed in italic type.

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    • [PDF File]Final Rule: Enhanced Disclosure and New Prospectus ...

      https://info.5y1.org/mutual-fund-prospectus-requirements_1_9c3769.html

      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. Upon an investor’s request, mutual funds are also required to send the statutory

      prospectus delivery requirements

    • Prospectus Disclosure and Delivery Requirements

      § 4:1 Federal and State Registration Requirements Mutual fund prospectus disclosures are made in the context of registration of the fund and its shares under both the 1933 Act and the 1940 Act, which is described in this section. § 4:1.1 Registration Under the 1933 and 1940 Acts As mutual funds continuously offer and sell securities (their ...

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    • [DOC File]APPENDIX A TO NATIONAL INSTRUMENT 41-101

      https://info.5y1.org/mutual-fund-prospectus-requirements_1_9d3ed5.html

      The regulators and securities regulatory authorities (the “regulators”) listed in Schedule 3 of Appendix A to National Instrument 41-101 General Prospectus Requirements (“NI 41-101”) collect the personal information in the personal information form as this term is defined in NI 41-101 (the “Personal Information Form”), under the ...

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    • Charles Schwab

      The regulators and securities regulatory authorities (the “regulators”) listed in Schedule 3 of Appendix A to National Instrument 41-101 General Prospectus Requirements (“NI 41-101”) collect the personal information in the personal information form as this term is defined in NI 41-101 (the “Personal Information Form”), under the ...

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    • [DOC File]SECURITIES ACT - O. Reg. 3/00

      https://info.5y1.org/mutual-fund-prospectus-requirements_1_c6d037.html

      For complete information about mutual funds, including investment policies, risks, considerations, charges and expenses, a free prospectus may be obtained by contacting Aon Hewitt. This includes the Reich & Tang Daily Income t Money Market Fund prospectus which can also be accessed via the Knowledge Center located in the Customer Service ...

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    • [DOC File]Draft 7/10/03: JFC/HLS

      https://info.5y1.org/mutual-fund-prospectus-requirements_1_19a77b.html

      Mutual Fund Prospectus Disclosure (NI 81-101) requires a conventional mutual fund to prepare and file: a simplified prospectus. an annual information form (AIF), and. a Fund Facts document for every class or series of a mutual fund. Non-conventional investment fund. s

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    • [DOC File]Hewitt Financial Services

      https://info.5y1.org/mutual-fund-prospectus-requirements_1_267729.html

      It is also possible to combine the professionals exemption and the private placement exemption so that documents offering shares in the Fund to unlimited numbers of professional investors and to a maximum of not more than 50 other persons (who do not qualify as professional investors) will be exempt from the C(WUMP)O prospectus requirements.

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    • Europa

      ADP will contact fund partners and request an inventory of prospectuses that will be used in fulfilling Pre-Sale and Confirming prospectus requirements. Contact: Naadia Burrows (631) 254-7112 Initial quantities are generally 250-500.

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    • [DOCX File]National Instrument 81-101 - BCSC

      https://info.5y1.org/mutual-fund-prospectus-requirements_1_1820e8.html

      MUTUAL FUND DUE DILIGENCE QUESTIONNAIRE. I. Required Documents. Along with the completed and signed questionnaire, please provide a copy of each of the following documents, as applicable. These documents must be . current. and may be delivered electronically, if available. Prospectus, including any supplements.

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    • [DOCX File]Official Website of the Insurance Commission

      https://info.5y1.org/mutual-fund-prospectus-requirements_1_272ac1.html

      Mutual Fund Prospectus Disclosure. Form 81-101F3. Contents of Fund Facts Document. GENERAL INSTRUCTIONS: General (1) This Form describes the disclosure required in a fund facts document for a mutual fund. Each Item of this Form outlines disclosure requirements. Instructions to help you provide this disclosure are in italic type. (2)

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    • Requirements for Prospectus Delivery Mutual Funds | Finance - Zacks

      Documentary Requirements. 1. Mutual Funds . SEC Approval of the Mutual Fund. Prospectus/Fund Fact Sheet . Applicable credit rating (offshore) 2. Unit Investment Trust Fund. BSP Approval of the UITF. Prospectus/Fund Fact Sheet/Declaration of Trust. Additional requirements for Pre-Need companies: CAMELS Rating of the Bank (refer to IC CL No. 2019-29) 3.

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    • [DOC File]APPENDIX A TO NATIONAL INSTRUMENT 41-101

      https://info.5y1.org/mutual-fund-prospectus-requirements_1_baac43.html

      (1.1)The requirements set out in subsections (2), (4), (5) and (6) apply except as otherwise provided in National Instrument 81–101 Mutual Fund Prospectus Disclosure. 3.(1)Subsection 52 (1) of the Regulation is amended by striking out “the Rules entitled “In the Matter of a Simplified Prospectus Qualification System for Mutual Funds ...

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