Series 6: 1.3.2. Investment Company Advertisements And Sales Literature

Taken from our Series 6 Top-off Online Guide

1.3.2. Investment Company Advertisements and Sales Literature

Investment company advertisements involving new securities are regulated primarily by the Securities Act. Issuers cannot advertise a securities offering before filing a registration statement with the SEC. Let’s look at some types of investment company advertisements and rules related to those advertisements.

+ Read More

More Series 6 Info

What are people saying?

Create an Account

Since you're reading about Series 6: 1.3.2. Investment Company Advertisements And Sales Literature, you might also be interested in:

Series 79 - Bidding Procedures Letter

Series 79 - Counterparty Risk

Series 53 - Securities Acts Amendments of 1975

Series 26 - Availability of Written Procedures

Series 14 - 2.8.2. Block Trading

Series 7 - 12.7.6. Spin-Offs and Split-Offs

Series 79 - 11.2.2.2. Merger Structures

Series 66 - Withdrawing from a Traditional IRA

Series 7 - 6.2.1 Types of Closed-End Funds

Series 66 - Interest Rates and Bond Prices

Series 7 - 11.1.6. Retail Communications that Include a Recommendation

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I have used Solomon exam prep for the 6/63 and was able to pass on the first try. Now I’m taking the 65 and hope to do the same. I’ve used other recommended exam prep courses and came back to Solomon for the 65 because of ease of use. I would recommend Solomon to anyone that is in need of a securities exam. All the content is laid out in an easy to follow way.

Antonio Mendoza, State Farm. Santa Maria , CA.

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL

Solomon Exam Prep did it again! I passed the Series 63! Now, I'm 3 for 3 - SIE, S6 & S63 - all first try- thanks to the amazing study material! The practice exams are phenomenal!

Candace Chavez, Cetera Investment Services. Wimberley, TX.

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

Well, I am back! Solomon did it again. I passed the Series 6. All of Solomons materials throughly prepared me for the passing of the SIE and the Series 6. Whose materials will I use for the Series 63? I am glad you asked. I must say it will be Solomon Exam Prep. Thanks again, Solomon your study materials are the best!

Leanene Carriere. Houston, TX

I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

Glenn M., Detroit, MI