Series 24: Communications Guidelines: Pre-Filing Period

Taken from our Series 24 Online Guide

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Communications Guidelines: Pre-Filing Period

The following are acceptable communications during the pre-filing period:

• Free writing prospectuses may be distributed, but only if they are prepared for a WKSI.
• Issuer statements to the public are allowed more than 30 days before the registration statement is filed as long as they do not refer to the contemplated offering.
• Statements regarding regular business activity are permitted as long as the issuer regularly makes statements to the public. If the issuer files reports with the SEC, the communications can include forward-looking statements, such as earnings projections and management�

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