710 IAC 4-5-5 - Filing of advertising and sales literature
Authority: IC 23-19-6-5
Affected: IC 23-19-5-4
Sec. 5.
(a) A copy of
any:
(1) advertisement;
(2) pamphlet;
(3) circular;
(4) letter;
(5) article;
(6) communication published in any:
(A) newspaper;
(B) magazine; or
(C) periodical;
(7) script of any:
(A) recording;
(B) radio; or
(C) television announcement or
broadcast;
(8)
sales-kit;
(9) pitch-kit;
(10) film clip; or
(11) other communication through facsimile or
other electronic means;
to be used in connection with a registration of securities by qualification must be filed with the commissioner at least five (5) business days prior to issuance, release, circulation, or distribution.
(b) The documents
listed in subsection (a) shall include any written communication with existing
security holders of the issuer, other than proxy statements.
Notes
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