The administrator may by rule or order require the filing of any prospectus, pamphlet, circular, form letter, advertisement, or other sales literature or advertising communication addressed or intended for distribution to prospective investors, including clients or prospective clients of an investment adviser, unless the security is a federal covered security or the transaction relates to a federal covered security or the security or transaction is exempted by section 502.202 or 502.203. The administrator may by rule or order prohibit the publication, circulation, or use of any advertising deemed false or misleading.
[SS15, § 1590-u2; C24, 27, § 8527; C31, 35, § 8581-c8; C39, § 8581.07(4); C46, 50, 54, 58, 62, 66, 71, 73, 75, § 502.7(2, d); C77, 79, 81, § 502.602]
97 Acts, ch 114, §15; 98 Acts, ch 1106, §20, 24
Referred to in § 502.202-502.204, 502.209, 502.502A, 536A.22
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