Series 82: 1.2.1.2.4. When Generic Advertising Of Investment Companies Is Not An Offer

Taken from our Series 82 Top-off Online Guide

1.2.1.2.4. When Generic Advertising of Investment Companies Is Not an Offer

A generic advertisement is a communication that does not specifically refer to a particular investment company or its securities and therefore does not offer to sell a security. Instead, these advertisements may describe a type of fund without referring to a specific fund. To be considered a generic advertisement, it must restrict the information it conveys to any one or more of the following:

•Explanatory information about investment companies or their services

•Generic information about the types or objectives

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