New Jersey Administrative Code
Title 13 - LAW AND PUBLIC SAFETY
Chapter 47A - BUREAU OF SECURITIES
Subchapter 1 - BROKER-DEALERS
Section 13:47A-1.10A - Maintenance of sales and advertising material (broker-dealers)

Universal Citation: NJ Admin Code 13:47A-1.10A
Current through Register Vol. 56, No. 18, September 16, 2024

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.

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