Series 6 - Investment Company And Variable Contracts Products Representative Exam

Preview Mode

An issuer may sell a publicly offered security without a prospectus if:

The issuer provides a preliminary prospectus to investors
A
The issuer publishes a tombstone advertisement in a major financial periodical
B
Within 20 days after the cooling-off period ends
C
Never
D

Explanations

SEC rules prohibit the sale of securities unless the final prospectus is available.