Series 53: 4.2.4.1.2. Syndicate Advertisement Standards

Taken from our Series 53 Online Guide

4.2.4.1.2. Syndicate Advertisement Standards

In soliciting interest in a new offering, any advertisement may identify the initial reoffering prices or yields for the securities, even if those prices or yields have since changed. However, the advertisement must contain the date that the issuer sold the securities to the syndicate.

The date of sale for competitive sales is the date on which bids must be submitted to a

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