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A prospectus from the US. A prospectus, in finance, is a disclosure document that describes a financial security for potential buyers. It commonly provides investors with material information about mutual funds, stocks, bonds and other investments, such as a description of the company's business, financial statements, biographies of officers and directors, detailed information about their ...
A red herring prospectus, as a first or preliminary prospectus, is a document submitted by a company (issuer) as part of a public offering of securities (either stocks or bonds). Most frequently associated with an initial public offering (IPO), this document, like the previously submitted Form S-1 registration statement, must be filed with the ...
All stockholder derivative actions filed with a court against an investment company or an affiliate 40-8B25 Document or Report 40-8F-2 Initial application for de-registration pursuant to Investment Company Act Rule 0-2 40-APP Applications under the Investment Company Act other than those reviewed by Office of Insurance Products 40-APP/A
Sales can only be made through a final prospectus cleared by the Securities and Exchange Commission. The final step in preparing and filing the final IPO prospectus is for the issuer to retain one of the major financial "printers", who print (and today, also electronically file with the SEC) the registration statement on Form S-1. Typically ...
The regulation was introduced in 2018 with aims to protect retail investors by adopting some key-principles: - comparability: the investment prospectus has to allow direct comparison between different products that meet a retail investor’s stated aims; - synthesis: the key-information has to be contained in a prospectus of maximum three pages ...
The Undertakings for Collective Investment in Transferable Securities Directive (Directive 2009/65/EC, "UCITS") [1] is a EU directive that allows collective investment schemes to operate freely throughout the EU on the basis of a single authorisation from one member state. EU member states are entitled to have additional regulatory requirements ...
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