United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2009_register executive 2010-09-23 article Part III Rules and Regulations D09002ee1c8076bb3 D09002ee1c8076df0 United States Securities and Exchange Commission originator org United States Government Agency or Subagency 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. The amendments require key information to appear in plain English in a standardized order at the front of the mutual fund statutory 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. Upon an investor's request, mutual funds are also required to send the statutory prospectus to the investor. These amendments are intended to improve mutual fund disclosure by providing investors with key information in plain English in a clear and concise format, while enhancing the means of delivering more detailed information to investors. Finally, the Commission is adopting additional amendments that are intended to result in the disclosure of more useful information to investors who purchase shares of exchange- traded funds on national securities exchanges. 74 FR 4546 https://www.govinfo.gov/app/details/FR-2009-01-26/E9-1035 E9-1035 FR26JA09-5 RIN 3235-AJ44 8011-01-P Release Nos. 33-8998 IC-28584 File No. S7-28-07 https://www.govinfo.gov/app/details/FR-2009-01-26/E9-1035 https://www.govinfo.gov/content/pkg/FR-2009-01-26/html/E9-1035.htm https://www.govinfo.gov/content/pkg/FR-2009-01-26/pdf/E9-1035.pdf Investment Companies Reporting and Recordkeeping Requirements Securities 48 p. 4546 4593 74 FR 4546 Title 17 Part 230 17 CFR Part 230 Title 17 Part 232 17 CFR Part 232 Title 17 Part 239 17 CFR Part 239 Title 17 Part 274 17 CFR Part 274 RIN 3235-AJ44 Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies; Federal Register Vol. 74, Issue RULE E9-1035 III SECURITIES AND EXCHANGE COMMISSION 2009-03-31 Release Nos. 33-8998 IC-28584 File No. S7-28-07 8011-01-P E9-1035 Final rule.

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. The amendments require key information to appear in plain English in a standardized order at the front of the mutual fund statutory 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. Upon an investor's request, mutual funds are also required to send the statutory prospectus to the investor. These amendments are intended to improve mutual fund disclosure by providing investors with key information in plain English in a clear and concise format, while enhancing the means of delivering more detailed information to investors. Finally, the Commission is adopting additional amendments that are intended to result in the disclosure of more useful information to investors who purchase shares of exchange- traded funds on national securities exchanges.

Effective Date: March 31, 2009. Kieran G. Brown, Senior Counsel; Sanjay Lamba, Senior Counsel; Devin F. Sullivan, Attorney; or Mark T. Uyeda, Assistant Director, Office of Disclosure Regulation, at (202) 551-6784, or, with respect to exchange-traded funds, Adam B. Glazer, Senior Counsel, Office of Regulatory Policy, at (202) 551-6792, Division of Investment Management, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5720. Investment Companies Reporting and Recordkeeping Requirements Securities Enhanced Disclosure and New Prospectus Delivery Option for Registered OpenEnd Management Investment Companies , http://ici.org/pdf/rpt_06_inv_prefs_summary.pdf http://www.connectlive.com/events/secxbrl/ http://www.consumerfed.org/pdfs/mutual_fund_survey_report.pdf http://www.finra.org/web/groups/rules_regs/documents/rules_regs/p012356.pdf http://www.finra.org/web/groups/rules_regs/documents/rules_regs/p013690.pdf http://www.gao.gov/archive/2000/gg00126.pdf http://www.ici.org/pdf/2008_factbook.pdf http://www.ici.org/stats/res/fm-v15n6.pdf http://www.nber.org/papers/w12261.pdf http://www.nytimes.com/2006/03/31/us/31divide.html?ex=1301461200&en=6fd4e942aaaa04ad&ei=5088 http://www.pewinternet.org/pdfs/PIP_Broadband%202007.pdf http://www.pewinternet.org/pdfs/PIP_ICT_Typology.pdf http://www.pewinternet.org/pdfs/PIP_Internet_Impact.pdf http://www.sec.gov/comments/s7-28-07/s72807.shtml http://www.sec.gov/news/press/2008/2008-119.htm http://www.sec.gov/rules/proposed/s70604/nasd033005.pdf http://www.sec.gov/spotlight/rule12b-1.htm http://www.sec.gov/spotlight/xbrl/xbrlofficialtranscript0606.pdf http://www1.newriver.com/upload_files/ForresterConsulting_NewRiver_ShortForm_Prospectus_10_25_2007.pdf Vol. 74, no. 15 Office of the Federal Register, National Archives and Records Administration 2009-01-26 continuing daily deposited born digital 350 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2009-01-26 P0b002ee1809aa0a4 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:FR26JA09 https://www.govinfo.gov/app/details/FR-2009-01-26 https://www.govinfo.gov/content/pkg/FR-2009-01-26/pdf/FR-2009-01-26.pdf https://www.govinfo.gov/content/pkg/FR-2009-01-26/xml/FR-2009-01-26.xml fdlp 4343 4686 DGPO 2010-09-23 2024-06-05 FR-2009-01-26 machine generated eng FR FR-2009-01-26 74 15