Series 22: 4.2.2. Registration Period Communication Safe Harbors

Taken from our Series 22 Top-off Online Guide

4.2.2. Registration Period Communication Safe Harbors

Issuers and underwriters must be very careful about how they communicate to potential investors and the general public regarding securities that are not yet fully registered. To help issuers and underwriters avoid unauthorized communication, known as gun-jumping, the SEC has developed a set of “safe harbor” rules.

A safe harbor is a provision in a law (or in a regulation based on that law) that protects a person from being found i

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