1.2.1.2.2. Cooling-Off Period Communications Not Deemed a Prospectus
Communications made after a registration statement has been filed do not constitute an offer to sell and do not have to be included as part of a prospectus if limited to:
• Factual information about the identity and location of the issuer’s business
• The name and amount of the security being offered
• The price of the security or the method for its determination
• The final maturity, the interest rate, and the yield for a fixed-income security
• The intended use of the offering’s proceeds, if disclosed in the prospectus
• The identity and contact information of the author of the communication and his role in the offering
• The type of underwriting and the names and roles of the underwriters
• A description of the anticipated schedule and procedures for conducting the offering
• Any statement or legend required by any state law or administrative authority
If the registration statement has not yet become effective, every communication must contain the name and address of a person(s)