N.J. Admin. Code § 13:47A-1.10A

Current through Register Vol. 56, No. 24, December 18, 2024
Section 13:47A-1.10A - Maintenance of sales and advertising material (broker-dealers)

Subject to the limitations of Section 15 of the Securities Exchange Act of 1934 ( 15 U.S.C. § 78 o), all broker-dealers shall keep on file, in each branch and sales office, for a period of three years, copies of any prospectus, circular, form letter, advertisement, sales script, or prepared text used in that branch or sales office in the course of soliciting prospective investors, and any other sales or advertising material intended for distribution or communication to prospective investors by mail, telephone, or any other medium, including electronic and social media, or for the use or training of persons making such communications. Any material required to be maintained pursuant to this section may be maintained in electronic form, either at the branch or sales office or at a central location, provided that such electronically stored material can, upon demand, be retrieved and provided to the Bureau within two working days.

N.J. Admin. Code § 13:47A-1.10A

Amended by 47 N.J.R. 2155(a), effective 8/17/2015