Series 24: 4.1.9. Communications Guidelines: Pre-Filing Period

Taken from our Series 24 Online Guide

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

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