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