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PDFWAC 460-28A-025

Exceptions from filing requirements.

The following forms and types of advertising are permitted without the necessity for filing or prior authorization by the administrator, unless specifically prohibited.
(1) So-called "tombstone" advertising, containing no more than the following information:
(a) Name and address of issuer.
(b) Identity or title of security.
(c) Per unit offering price, number of shares and amount of offering.
(d) Brief, general description of business.
(e) Name and address of underwriter, or address where offering circular or prospectus can be obtained.
(f) Date of issuance.
(2) Dividend notices, proxy statements and reports to shareholders, including investment company quarterly and semi-annual reports.
(3) Sales literature, advertising or market letters prepared in conformity with the applicable regulations and in compliance with the filing requirements of the SEC, FINRA, or an approved securities exchange.
(4) Factual or informative letters, bulletins or releases, similar to "news letters," relating to issuer's progress or activities, status of the offering or current financial conditions.
[Statutory Authority: RCW 21.20.450. WSR 14-10-040, § 460-28A-025, filed 4/29/14, effective 5/30/14; Order 304, § 460-28A-025, filed 2/28/75, effective 4/1/75. Formerly chapter 460-28 WAC.]
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