§ 230.607 Sales material to be filed.  


Latest version.
  • Four copies of each of the following communications prepared or authorized by the issuer or anyone associated with the issuer, any of its affiliates or any principal underwriter for use in connection with the offering of any securities under §§230.601 to 230.610a shall be filed with the Commission at least five days (exclusive of Saturdays, Sundays and holidays) prior to any use thereof, or such shorter period as the Commission, in its discretion, may authorize:

    (a) Every advertisement, article or other communication proposed to be published in any newspaper, magazine or other periodical;

    (b) The script of every radio or television broadcast; and

    (c) Every letter, circular or other written communication proposed to be sent, given or otherwise communicated to more than ten persons.