Rule 590-4-3-.12 - Filing of Sales and Advertising Literature Relating to Securities Offerings Registered by Qualification(1) Except as provided in this Rule, Sales and Advertising Literature used or proposed to be used in connection with the offer or sale of securities registered under Section 10-5-23 of the Act must be filed with the Commissioner at least five (5) business days prior to issuance, release, circulation or distribution thereof.(2) The following Sales and Advertising Literature are not required to be filed with the Commissioner pursuant to this Rule:(a) An advertisement, the content of which is limited to the information specified in Rule 134(a) adopted by the SEC under the Securities Act of 1933 and includes a statement that such advertisement does not constitute an offer to sell or the solicitation of an offer to buy a security and the name and address from whom a prospectus can be obtained;(b) Customary quarterly, annual and other periodic reports to security holders, proxy statements, dividend notices, and similar documents that are routinely sent to security owners; and(c) The prospectus included in the registration statement filed with the Commissioner relating to such offering of securities.Ga. Comp. R. & Regs. R. 590-4-3-.12
O.C.G.A. Secs. 10-5-5, 10-5-10, 10-5-23, 10-5-70, 10-5-74.
Original Rule entitled "Total Aggregate Offering Amount of Small Issue Registrations" adopted as ER. 590-4-3-0.33-.12. F. July 2, 1990; eff. July 1, 1990, the date of adoption.Amended: Permanent Rule of same title adopted. F. Aug. 8, 1990; eff. Aug. 28, 1990.Repealed: New Rule of same title adopted. F. Dec. 21, 2004; eff. Jan. 10, 2005.Repealed: New Rule entitled "Filing of Sales and Advertising Literature Relating to Securities Offerings Registered by Qualification" adopted. F. Nov. 18, 2011; eff. Dec. 8, 2011.