Series 65: 3.1.4.3 Mutual Fund Prospectus Rules

Taken from our Series 65 Online Guide

3.1.4.3 Mutual Fund Prospectus Rules

Because mutual fund shares are issued new for each purchaser, the shares must always be sold with a prospectus. The prospectus must be delivered prior to the point at which the customer acquires an interest in the fund, and it must be up-to-date. The SEC does not permit prospectuses that are in use for more than 9 months to have financial information in them that is more than 16 months old.

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