[§485A-504] Filing of sales and advertising literature. (a) Except as otherwise provided in subsection (b) and section [485A-501(a)(7)], a rule adopted or order issued under this chapter 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 chapter.
(b) This section shall not apply to sales and advertising literature specified in subsection (a) that relate to a federal covered security, a federal covered investment adviser, or a security or transaction exempted by section 485A-201, 485A-202, or 485A-203, except as required pursuant to section 485A-201(7). [L 2006, c 229, pt of §1]
Section: Previous 485a-409 485a-410 485a-411 485a-412 485a-501 485a-502 485a-503 485a-504 485a-505 485a-506 485a-507 485a-508 485a-509 485a-510 485a-601 NextLast modified: October 27, 2016