Series 79: 6.2.3. Types Of Prospectus

6.2.3. Types of Prospectus

If a communication falls under the definition of a prospectus at all, then it needs to meet the requirements of one of the three types of prospectus listed below. (There are other types for special situations like mutual fund sales, but these main three are the ones you will need to know for the exam.) They were briefly introduced above and will be discussed in more detail in the following chapters. All of them must be filed with the SEC.

1. A preliminary prospectus is filed with the SEC at the time of regis