Series 3: 7.3.6.4. Security Futures Products

7.3.6.4. Security Futures Products

Members and their associates that are registered as broker-dealers under the Securities Exchange Act of 1934 may not use any promotional material that specifically refers to security futures products unless the promotional material:

• • Prominently identifies the member
• • Includes the date that the material was first used
• • Provides contact information for obtaining a copy of the disclosure statement for security futures products
• • States that security futures products are not suitable for all customers
• • Discloses the source of any statistical tables, charts, graphs, or other illustrations from a source other than the member
• • States that supporting documentation will be furnished upon request if it includes any claims, comparisons, recommendations, statistics, or other technical data

Promotional material for securities futures products cannot include:

• • Any statement suggesting that security futures positions can be liquid