FINRA Series 63 (NASAA)

Category - Series 63

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A tombstone advertisement is

an offer to sell a new security.
the announcement of a new security that may become available for purchase.
the only type of advertisement that an investment advisory firm is allowed to use.
an offer to sell a new security that is being issued by an Arizona firm.

Explanation

Answer: B - A tombstone advertisement is an announcement of a new security that may become available for purchase. It is the only type of advertisement that is allowed during the “cooling off period” once a firm has filed a registration statement for a new security. It is not an offer to sell the security, an act that is strictly prohibited during this period.

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FINRA Series 63 (NASAA)

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FINRA Series 63 (NASAA)

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