Pennsylvania Code & Bulletin
COMMONWEALTH OF PENNSYLVANIA

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10 Pa. Code § 206.041. Use of preliminary prospectuses prohibited.

§ 206.041. Use of preliminary prospectuses prohibited.

 If a registration statement has been filed under section 206 of the act (70 P. S. §  1-206) in reliance on section 3(a)(11) of the Securities Act of 1933 (15 U.S.C.A. §  77c(a)11) and the rules and regulations adopted thereunder but has not yet become effective, no person may make offers to sell nor solicit offers to buy nor may there be a sale of the securities covered by the registration statement except as otherwise provided under the act (70 P. S. § §  1-101—1-704) or under this chapter. Use of a proposed or preliminary form of the prospectus submitted with the registration statement or proposed to be submitted to facilitate offers or sales, as set forth in this section, is prohibited.

Source

   The provisions of this §  206.041 adopted June 14, 1974, effective June 15, 1974, 4 Pa.B. 1227; transferred and renumbered from 64 Pa. Code §  206.041, December 14, 2012, effective December 15, 2012, 42 Pa.B. 7533. Immediately preceding text appears at serial page (268803).



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