Series 24: Delivery Of A Prospectus For A Follow-on Offering

Taken from our Series 24 Online Guide

Delivery of a Prospectus for a Follow-on Offering

If the securities are currently traded on a National Exchange or on Nasdaq, purchasers of the new securities in the public offering need to be provided a prospectus. Once the securities begin trading in the secondary market, the securities do not need to be sold with a prospectus.

If the securities will be traded on OTCBB or the Pink Sheets, purchasers of the securities need to be provided a prospectus for up to 40 days.

Additionally, broker-dealers selling new issues of non-reporting companies must provide a final prospectus to anyone who requests it for up to 40 days after the public offering.

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