Series 14: 9.1.2.4. Supplemental Sales Literature

9.1.2.4. Supplemental Sales Literature

The Investment Company Act requires that any sales literature connected with a public offering by any open-end investment company, UIT, or face-amount certificate company be filed with the SEC or FINRA within 10 days of its distribution. Investment company sales literature is any communication (in writing or over the public media) that offers to sell or induce the sale of investment company securities. This includes not only a communication between a firm and