710 Ind. Admin. Code 4-5-5

Current through December 4, 2024

Section 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.

710 IAC 4-5-5

Securities Division; 710 IAC 4-5-5; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA

Readopted filed 5/12/2016, 1:47 p.m.: 20160608-IR-710160136RFA

Readopted filed 11/30/2022, 4:01 p.m.: 20221228-IR-710220301RFA