Texas Administrative Code
Title 7 - BANKING AND SECURITIES
Part 7 - STATE SECURITIES BOARD
Chapter 137 - ADMINISTRATIVE GUIDELINES FOR REGULATION OF OFFERS
Section 137.4 - Tombstone Advertisements

Universal Citation: 7 TX Admin Code ยง 137.4

Current through Reg. 49, No. 38; September 20, 2024

"Tombstone" advertisements need not be filed pursuant to § RSA 137.2(a) of this title (relating to Filing Requirements) and are not subject to the requirements of § RSA 137.6(a) of this title (relating to Standards for Supplemental Advertising) if they contain no more than one or more of the following:

(1) date of issuance or release;

(2) name and address of issuer;

(3) identity or title of securities;

(4) per unit offering price;

(5) amount of offering;

(6) brief statement of character or business taken from summary in the preliminary or final prospectus;

(7) names of the underwriters;

(8) address where prospectus or offering circular may be obtained; or

(9) any statement or legend required by state law or administrative authority.

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