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| Security Act '33 Section 10 |
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Definition
| Information Required in Prospectuses |
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| Security Act '33 Section 12 |
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| Civil Liabilities in Connection with Prospectuses and Communications |
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| Communication not Deemed a Prospectus (tombstone ads) |
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Definition
| Investment Company Sales Literature |
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Definition
| Prohibition of Misleading Sales Literature |
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Definition
| Advertising by an Investment Company as Satisfying Requirements of Security Act '33 Section 10 |
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Term
| Investment Company Act of '40 Rule 34b-1 |
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Definition
| Sales Literature Deemed to be Misleading |
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Definition
| Standards of Commercial Honor and Principles of Trade |
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Definition
| Use of Manipulative, Deceptive, or Other Fraudulent Devices |
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| Communications with Customers and the Public |
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| Communications with the Public about Variable Life Insurance and Variable Annuities |
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Definition
| Use of Rankings in Invesstment Companies Advertisements and Sales Literature |
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Definition
| Limitations on Use of Association's Name |
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Definition
| Requirements for the Use of Bond Mutual Fund Volatility Ratings |
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Definition
| Telemarketing Requirements |
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Term
| Securities Act '33 Section 5 |
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Definition
| Prohibitions Relating to Interstate Commerce and the Mail |
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Term
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Definition
| Prospectus Delivery Requirements |
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Term
| Securities Exchange Act '34 Section 10 |
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Definition
| Regulation of the Use of Manipulative and Deceptive Devices |
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Term
| Securities Exchange Act '34 Section 10b-5 |
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Definition
| Employment of Manipulative and Deceptive Devices |
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Term
| Securities Exchange Act '34 Section 15 |
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Definition
| Registration and Regulation of Brokers and Dealers |
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Term
| Securities Exchange Act '34 Section 15(C)(1) |
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Definition
| Manipulative, Deceptive, or Fraudulent Devices or Contrivances |
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Term
| Securities Exchange Act '34 Section Rule 15c1-1 |
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Definition
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Definition
| Fraud and Misrepresentation |
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Definition
| Misrepresentation by broker and dealers as to registration |
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| Fraudulent acts or practices and fictitious quotations |
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| Investment Company Act '40 Section 35 |
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Definition
| Unlawful Representations and Names |
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Definition
| Dealings with Non-Members |
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Definition
| Variable Contracts of an Insurance Company |
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Definition
| Investment Company Securities |
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Definition
| Recommendations to Customers (Suitability) |
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| Fair dealing with Customers |
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| Suitability Obligations oto Institutions Customer |
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Definition
| Customers' Securities or Funds |
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Term
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Definition
| Avoiding Breakpoint Sales |
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