6 Del. Admin. Code § 200-D-405
Current through Register Vol. 28, No. 5, November 1, 2024
Any prospectus, pamphlet, circular, form letter, advertisement, or other sales literature or advertising communication addressed or intended for distribution to prospective investors, including clients or prospective clients of an investment adviser, must be filed with the Director unless the security or transaction is exempted by Section 73-207 of the Act or the security is a federal covered security under Section 73-208 of the Act.
6 Del. Admin. Code § 200-D-405
15 DE Reg. 529 (10/01/11)
18 DE Reg. 394 (11/1/2014) (Final)