Series 6: Exercise

Taken from our Series 6 Top-off Online Guide

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Exercise

Answer true or false.

1. _____ An advertisement about an investment company that is made before the investment company’s registration becomes effective must be accompanied or preceded by a preliminary prospectus.
2. _____ An advertisement about investment companies that is limited to general statements about investment companies and their services would be considered a generic advertisement.
3. _____ An omitting prospectus is never allowed to leave out information that appears in a statutory prospectus.
4. _____ A summary prospectus can never be used to meet the delivery requirements of a statutory prospectus.

Answers

1. False. This type of ad must be accompanied or preceded by a

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