Series 6: 1.3.2.4. Sales Literature Deemed Misleading

Taken from our Series 6 Top-off Online Guide

1.3.2.4. Sales Literature Deemed Misleading

If sales literature has information or a lack of information that deliberately misleads, the issuer, underwriter, or dealer may be liable.

In addition, investment company sales literature must contain the same financial performance disclosure as the omitting prospectus. Sales literature that fails to include these financial disclosures is considered deliberately misleading.

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