Series 22: Generic Advertisement

Taken from our Series 22 Top-off Online Guide

Generic Advertisement

This safe harbor is specific to investment companies (e.g., mutual funds) and is available any time. An advertisement published by an investment company does not constitute an offer to sell a security if it meets all the following conditions:

the communication does not refer by name to any specific investment company or its securities

the communication is limited to one or more of the following:

» explanations about the nature of investment companies or the securities such companies generally offer

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