Series 24: Communications Guidelines: Pre-filing Period

Taken from our Series 24 Online Guide

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Communications Guidelines: Pre-filing Period

The following are acceptable communications during the pre-filing period:

• Free-writing Prospectuses may be distributed in the pre-filing period, but only if they are prepared for a well-known seasoned issuer (WKSI).
• Issuer statements to the public are allowed more than 30 days before the registration statement is filed if they do not refer to the contemplated offering.
• Statements regarding regular business activity are permitted, if the issuer regularly makes statements to the public. If the issuer files reports with the SEC, the communications can include forward-looking statements, such as earnings projections and manag

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