Wash. Admin. Code § 460-28A-025 - Exceptions from filing requirements
The following forms and types of advertising are permitted without the necessity for filing or prior authorization by the administrator, unless specifically prohibited.
(1)
So-called "tombstone" advertising, containing no more than the following
information:
(a) Name and address of
issuer.
(b) Identity or title of
security.
(c) Per unit offering
price, number of shares and amount of offering.
(d) Brief, general description of
business.
(e) Name and address of
underwriter, or address where offering circular or prospectus can be
obtained.
(f) Date of
issuance.
(2) Dividend
notices, proxy statements and reports to shareholders, including investment
company quarterly and semi-annual reports.
(3) Sales literature, advertising or market
letters prepared in conformity with the applicable regulations and in
compliance with the filing requirements of the SEC, FINRA, or an approved
securities exchange.
(4) Factual or
informative letters, bulletins or releases, similar to "news letters," relating
to issuer's progress or activities, status of the offering or current financial
conditions.
Notes
Order 304, § 460-28A-025, filed 2/28/75, effective 4/1/75. Formerly chapter 460-28 WAC.
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