Series 22: Notice Of A Proposed Offering

Taken from our Series 22 Top-off Online Guide

Notice of a Proposed Offering

An issuer may publish a notice of a proposed offering during the pre-filing or cooling-off period. To fall under this safe harbor, the notice (1) must include a legend stating that it is not an offer to sell, and (2) is limited to basic information about the offering (e.g., name of issuer, amount, anticipated timing/type/purpose of offering, and information to correct

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