OATS REPORTING APPLICABLE TO OTC EQUITIES (12/12/06)
FINRA noted that the SEC changed the prospectus delivery rule in 2005 but physical delivery of prospectuses is still required for mutual funds and ETFs. OUR TAKE: Failure to deliver disclosure documents also exposes the BD to potential liability for failing to ensure that a client has received full disclosure of a product’s features and risks. ................
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