Series 6 - Investment Company And Variable Contracts Products Representative Exam

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Communications not deemed a prospectus must include which of the following details?

Factual information about the legal identity and business location of the company and a consolidated financial statement
A
A legend and Shareholder information
B
Factual information about the legal identity and business location of the company and a legend
C
A legend, a consolidated financial statement and Shareholder information
D

Explanations

SEC Rule 134 states that an offering may be promoted without a prospectus if, among other items, the communication includes information about the legal identity and business location of the company and a legend, unless accompanied or preceded by a prospectus or if it indicates where a prospectus may be obtained.

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