Series 6: 1.3.2.2. Generic Advertisements

Taken from our Series 6 Top-off Online Guide

1.3.2.2. Generic Advertisements

A generic advertisement is a communication that does not specifically refer to a particular investment company or its securities and therefore does not offer to sell a security. Instead, these advertisements may describe a type of fund without referring to a specific fund. To be considered a generic advertisement, it must restrict the information it conveys to any one or more of the following:

• Explanatory information about investment companies or their services
• Generic information about the types or objectives of investment companies
• Gene

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