Series 6: 1.3.2. Investment Company Advertisements And Sales Literature

Taken from our Series 6 Online Guide

1.3.2. Investment Company Advertisements and Sales Literature

Investment company advertisements involving new securities are regulated primarily by the Securities Act. Issuers cannot advertise a securities offering before filing a registration statement with the SEC. Let’s look at some types of investment company advertisements and rules related to those advertisements.

+ Read More

More Series 6 Info

What are people saying?

Create an Account

Since you're reading about Series 6: 1.3.2. Investment Company Advertisements And Sales Literature, you might also be interested in:

Series 51 - Rule G-14—Reports of Sales or Purchases

Series 26 - Change of Account Information

Series 54 - 1.1.1. Indirect Enforcement Through Underwriters

Series 6 - Series 6 Frequently Asked Questions

Series 50 - Time of Formal Award and Time of First Execution

Series 7 - 10.4.1. Customer Profiles

Series 28 - Reconfirmation of Fails to Deliver

Series 50 - Municipal Notes

Series 53 - Municipal Notes

Series 65 - 8.9.3. Registration of Broker-Dealers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

My sincere thanks and appreciation to the team at Solomon. I've used your materials to pass the SIE and Series 6, both on the first try, and today with your help, I have passed the Series 26 exam on the first try as well! Thank you for the excellent materials and assistance!

Kristina Ribali, MWA Financial Services. Ave Maria, FL

I have passed the Series 6, 63, and 26 on my first tries, all with the excellent training offered by Solomon. I'll never use another platform for my material.

Jodee Hempel, Woodmen Financial Services. Omaha, NE

Well, I am back! Solomon did it again. I passed the Series 6. All of Solomons materials throughly prepared me for the passing of the SIE and the Series 6. Whose materials will I use for the Series 63? I am glad you asked. I must say it will be Solomon Exam Prep. Thanks again, Solomon your study materials are the best!

Leanene Carriere. Houston, TX

I was struggling with my Series 6. I was referred to Steve Kaplan by a colleague. Steve told me to throw away my other study materials from the other school and use the Solomon Products. I found the information to be easier to understand. Along with Steve's test taking tips, I passed my Series 6 with no problem

Ruby Crenshaw, The Crenshaw Agency. Atlanta, GA

Thank you so much for your great study materials! I have used you to pass my Series 6, 63 and most recently my Series 7 all on the first try. The practice exams and video lectures were great and extremely helpful. Will definitely be using your study material for any future exams and will recommend you to other people

Louis Orsatti, NY LIFE Securities, Boston, MA

I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

Glenn M., Detroit, MI