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Title XXVI TRADE AND COMMERCE

Chapter 409

previous next Effective - 01 Sep 2003, see footnotebottom

  409.5-504.  Filing of sales and advertising literature. — (a)  Except as otherwise provided in subsection (b), a rule adopted or order issued under this act may require the filing of a prospectus, pamphlet, circular, form letter, advertisement, sales literature, or other advertising record relating to a security or investment advice, addressed or intended for distribution to prospective investors, including clients or prospective clients of a person registered or required to be registered as an investment adviser under this act.

  (b)  This section does not apply to sales and advertising literature specified in subsection (a) which relates to a federal covered security, a federal covered investment adviser, or a security or transaction exempted by section 409.2-201, 409.2-202, or 409.2-203 except as required pursuant to section 409.2-201(7).

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(L. 2003 H.B. 380)

Effective 9-01-03


---- end of effective   01 Sep 2003 ----

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