Series 6: 1.3.2. Investment Company Advertisements And Sales Literature

Taken from our Series 6 Top-off Online Guide

1.3.2. 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. Let’s look at some types of investment company advertisements and rules related to those advertisements.

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