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Delivery of Disclosure Documents to Households

SEC · final-rule · Published 1999-11-16 · Effective 1999-12-20 · 64 FR 62540

Document

Document number
99-29531
Federal Register citation
64 FR 62540
CFR reference
17 CFR 230
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
1999-11-16
Effective date
1999-12-20
Docket
Release Nos. 33-7766, 34-42101, IC-24123

Abstract

The Commission is adopting a new rule under the Securities Act of 1933 to permit issuers and broker-dealers to satisfy the Act's prospectus delivery requirements, with respect to two or more investors sharing the same address, by sending a single prospectus, subject to certain conditions. We are adopting similar amendments to the rules under the Securities Exchange Act of 1934 and the Investment Company Act of 1940 that require the delivery of shareholder reports. The rules will provide greater convenience for investors and cost savings for issuers by reducing the number of duplicate documents that investors receive.

Source

Authoritative
Federal Register document
Machine
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