Series 53: 2.5.6.5. Advertisements Exempt From Disclosure Requirements

Taken from our Series 53 Online Guide

2.5.6.5. Advertisements Exempt from Disclosure Requirements

Some advertisements for municipal fund securities do not need to include disclosure statements. Generic advertisements are one. These do not refer by name to any specific investment portfolio offered by an issuer of municipal fund securities. Generic advertisements are limited to explanatory information relating to municipal fund securities in general. They may include the name and address of the dealer sponsoring the advertisement.

Blind advertisements are another. A blind advertisement is one t

Since you're reading about Series 53: 2.5.6.5. Advertisements Exempt From Disclosure Requirements, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 53
Please Enable Javascript
to view this content!