Series 82: 1.2.1.1. Prospectus

Taken from our Series 82 Online Guide

1.2.1.1. Prospectus

When most of us think of a prospectus, we think of a long, detailed document. In fact, a prospectus is any written or broadcast offer to sell securities. It can be as short or as long as you like. What defines a prospectus is its contents. Section 2 of the Securities Act gives the following broad definition of prospectus:

Any notice, circular, advertisement, letter, or communication, written or broadcast, which offers a security for sale or confirms the sale of any security.

Written communications include electronic communications such as email, websites, faxes, videos, CD-ROMs, etc. Public seminars, public speaking, and unscripted presentations to a live audience are not considered to be written communications, as long as they are not recorded. Any presentation that is recor

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