Series 14: 9.1.2.1. Generic Advertisements

Taken from our Series 14 Online Guide

9.1.2.1. Generic Advertisements

A generic advertisement is a communication that does not specifically refer to a particular investment company or its securities and therefore does not offer to sell a security. Instead, these advertisements may describe a type of fund without referring to a specific fund. To be considered a generic advertisement, the communication must restrict the information it conveys to any one or more of the following:

•Explanatory information about investment companies or their services

•Generic information about the types or objectives of investment companies

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