Series 82: Cooling-Off Period Communications Not Deemed A Prospectus

Cooling-Off Period Communications Not Deemed a Prospectus

Communications made after a registration statement has been filed do not constitute an offer to sell and do not have to be included as part of a prospectus if limited to:

• • Factual information about the identity and location of the issuer’s business
• • The name and amount of the security being offered
• • The price of the security or the method for its determination
• • The final maturity, the interest rate, and the yield for a fixed-income security
• • The intended use of the offering’s proceeds, if disclosed in the prospectus
• • The identity and contact information of the author of the communication and his role in the offering
• • The type of underwriting and the names and roles of the underwriters
• • A description of the anticipated schedule and procedures for conducting the offering
• • Any statement or legend required by any state law or administrative authority

If the registration statement has not yet become effective, every communication must contain the name and address of a person(s) from whom a written prospectus may be obtained, alon