Series 62

By Jeff Van Blarcom AAA

Issuing Corporate Securities - Tombstone Ads

Tombstone ads are the only form of advertising that is allowed during the cooling off period. A tombstone ad is an announcement and description of the securities to be offered. A tombstone ad lists the names of the underwriters, where a prospectus may be obtained, and a statement that the tombstone ad does not constitute an offer to sell the securities and that the offer may only be made by a prospectus. Tombstone ads are traditionally run to announce the new issue, but they are not required and do not need to be filed with the SEC.



 



Series 62 exam prep software available here



Freeriding And Withholding / FINRA Rule 5130

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