4.1.9. Communications Guidelines: Pre-Filing Period
The following are acceptable communications during the pre-filing period:
• Free writing prospectuses may be distributed, but only if they are prepared for a WKSI.
• Issuer statements to the public are allowed more than 30 days before the registration statement is filed as long as they do not refer to the contemplated offering.
• Statements regarding regular business activity are permitted as long as the issuer regularly makes statements to the public. If the issuer files reports with the SEC, the communications ca