Series 79: Permitted Use

Taken from our Series 79 Top-off Online Guide

Permitted Use

Provided a registration statement has been filed, an FWP may be used in connection with an offering by a non-reporting or unseasoned issuer as long as the FWP is accompanied or preceded by a preliminary prospectus. If the FWP is electronic, this condition is satisfied if the FWP contains an active hyperlink to the then-current version of the prospectus.

A seasoned or well-known seasoned issuer does not have to provide a copy of or link to the preliminary prospectus. (As explained later in this chapter, under certain conditions a WKSI may use an FWP even before a registration statement has been filed.)

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Summary
Free Writing Prospectus
What is a Free Writing Prospectus?	• Written communication that: » Constitutes an offer to sell or solicitation to buy (for issuers other than WKSIs) » Is used after a registration statement is filed
Types of Communications	• Written or printed materials • Radio or television broadcasts • Graphic communication (e.g., electronic media) • Media stories (published or broadcast) if publisher or broadcaster is “in the business of” publishing or broadcasting and has not received compensation from issuer or offering participant • Written or electronic road show presentations • A live road show presentation to a live audience is not a free writing prospectus
Content Requirements	• May include information not in a prospectus • May not include information that conflicts with information in registration statement or other SEC filings • Must include legend stati