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What is a Prospectus?

A Prospectus is a legal document that must be filed with the Securities and Exchange Commission (SEC) when an investment is offered for sale to the public.

The most commonly known forms of a prospectus are those that accompany a mutual fund, ETF, or an annuity when purchased by an investor. For an annuity and/or a mutual fund, a Prospectus contains details on the investment strategies, risks, performance, distribution policy, fees and expenses, and fund management.

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