Series 82: 1.2.1.2. Specific Communications Rules

Taken from our Series 82 Online Guide

1.2.1.2. Specific Communications Rules

The Securities Act of 1933 prohibits anyone engaged in an underwriting from selling securities in an issue before the filing of a registration statement. Section 5(b) of the Act permits offers to sell during the cooling-off period if they are made by means of a valid prospectus.

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