Series 14: 9.1.2. Investment Company Advertisements And Sales Literature

Taken from our Series 14 Online Guide

9.1.2. Investment Company Advertisements and Sales Literature

Investment company advertisements involving new securities are regulated primarily by the Securities Act. Issuers cannot advertise a securities offering before filing a registration statement with the SEC. Any advertisement made by a new issuer before a registration statement becomes effective must be accompanied or preceded by a statutory prospectus. After a registration statement becomes effective, broker-dealers must deliver a prospectus to purchasers of the new securities, either when they are deliv

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