Series 14: 9.1.2.2. Generic Advertisements

9.1.2.2. Generic Advertisements

A generic advertisement is a communication published by an investment company that does not specifically refer to the investment company at all, nor to any of its securities. Instead, these advertisements may describe a type of fund without referring to a specific fund. To be considered a generic advertisement, the communication must restrict the information it conveys to any one or more of the following:

• Explanatory information about investment companies or their services

• Generic information about the types or objectives of investment companies

•