Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law 		UC Law logo

Regulatory History

Search Page

Suggestions

Main Table of Contents

Home

General Rules and Regulations
promulgated
under the
Securities Act of 1933





Rule 607 -- Sales Material to Be Filed


Four copies of each of the following communications prepared or authorized by the issuer or anyone associated with the issuer, any of its affiliates or any principal underwriter for use in connection with the offering of any securities under Rule 601 to Rule 610a shall be filed with the Commission at least five days (exclusive of Saturdays, Sundays and holidays) prior to any use thereof, or such shorter period as the Commission, in its discretion, may authorize:
  1. Every advertisement, article or other communication proposed to be published in any newspaper, magazine or other periodical;

  2. The script of every radio or television broadcast; and

  3. Every letter, circular or other written communication proposed to be sent, given or otherwise communicated to more than ten persons.

Regulatory History


23 FR 10484, Dec. 30, 1958

Return to top

Notice to Users: The Deskbook is made available with the understanding that the University of Cincinnati College of Law is not engaged in rendering legal, accounting or other professional services. If legal advice or other expert assistance is required, the services of a competent professional person should be sought. See Terms and Conditions of Use.  UC Brand Ingot
© Copyright 1998-2008, University of Cincinnati, All Rights Reserved
 Contact: ronald.jones@uc.edu