Series 79: 8.3.3. Prospectus Rules And Electronic Road Shows

Taken from our Series 79 Online Guide

8.3.3. Prospectus Rules and Electronic Road Shows

Other written materials besides the preliminary prospectus may be distributed as part of a road show presentation. Such materials are exempt from being filed as free writing prospectuses if all of the following conditions are met. Otherwise, they must be filed as FWPs.

The materials must be shown or handed out at the presentation itself. (So for example, the materials could not be emailed to the attendees in advance.)

The materials must be collected from the attendees at the end of the presentation.

In the case of an IPO, a bona fide electronic road show must be held alongside the traditional road show.

A bona fide electronic road show is a presentation by the issuer’s management that meets all of the following criteria:

It covers the same topics a

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