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PDFWAC 460-99C-250

AdvertisingFiling requirements.

(1) All advertising directed to or to be furnished to investors in an offering under RCW 21.20.880 shall be filed with the director no later than seven days prior to publication or distribution.
(2) The following forms and types of advertising are permitted without the necessity for filing or prior authorization by the administrator, unless specifically prohibited.
(a) So-called "tombstone" advertising, containing no more than the following information:
(i) Name and address of issuer;
(ii) Identity or title of security;
(iii) Per unit offering price, number of shares and amount of offering;
(iv) Brief, general description of business;
(v) Name and address of broker-dealer or underwriter, or address where offering circular or prospectus can be obtained; and
(vi) Date of issuance.
(b) Dividend notices, proxy statements and reports to shareholders, including periodic financial reports.
(c) 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.
[Statutory Authority: RCW 21.20.450, 21.20.880, 21.20.883, 21.20.886, and 2014 c 144. WSR 14-21-001, § 460-99C-250, filed 10/1/14, effective 11/1/14.]
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