Series 79: Exercise

Exercise

Fill in the blank

1. All of the safe harbors for a broker-dealer’s _____ apply only if they are published in the normal course of business.

2. The safe harbor for regularly released factual business information allows the _____ to continue to distribute information that it distributes in the normal course of business.

3. The safe harbor for _____ only applies to investment companies.

4. Issuers who are _____ may use free writing prospectuses during the pre-filing period.

5. A free writing prospectus used during the pre-filing period must be included in the _____.

6. The safe harbor for regularly released factual business in