Code of Federal Regulations · Section
§ 270.24b-3 — b-3 Sales Literature Deemed Filed
17 C.F.R. § 270.24b-3
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Any advertisement, pamphlet, circular, form letter or other sales literature addressed to or intended for distribution to prospective investors shall be deemed filed with the Commission for purposes of section 24(b) of the Act [15 U.S.C. 80a-24(b)] upon filing with a national securities association registered under section 15A of the Securities Exchange Act of 1934 [15 U.S.C. 78o] that has adopted rules providing standards for the investment company advertising practices of its members and has established and implemented procedures to review that advertising.
Authorizing Statute
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Registration and regulation of brokers and dealers15 U.S.C. § 78o
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Registration of securities15 U.S.C. § 77f
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Failure of corporate officers to certify financial reports18 U.S.C. § 1350
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Definitions and application15 U.S.C. § 78c
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Special powers of Commission15 U.S.C. § 77s
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Periodical and other reports15 U.S.C. § 78m