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Securities > Communications That Are Neither Advertising Nor Sales Literature

The following information is about Communications That Are Neither Advertising Nor Sales Literature.

Communications That Are Neither Advertising Nor Sales Literature Defined

Items exempt from the NASD's advertising and sales literature rules, including: 1. tombstone advertisements or similar communications; 2. documents intended for the internal use of the firm and not given to the public; 3. communications which only identify the member and/or offer a specific security at a stated price; 4. prospectuses, offering circulars, etc. used in connection with a public offering of a security that has been registered or filed with the SEC or a state (except for the prospectus for investment company shares); and 5. communications merely stating facts, such as the member's new name or address, facts concerning a merger or acquisition, the firm's NASDAQ® symbol, or the NASDAQ® symbol of a security in which the member is a registered market maker.

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