The Commissioner may, by rule or order, require the filing of a prospectus, pamphlet, circular, form letter, advertisement, or other sales literature or advertising communication, whether communicated in printed form, by electronic means, or otherwise, addressed or intended for distribution to prospective investors, including clients or prospective clients of an investment adviser, unless the security or transaction is exempt under § 31-5604.01 or § 31-5604.02, the security is a federal covered security, the transaction concerns a federal covered security or a federal covered adviser, or the transaction concerns a broker-dealer registered under the Securities Exchange Act of 1934.
(Oct. 26, 2000, D.C. Law 13-203, § 405, 47 DCR 7837.)
Section ReferencesThis section is referenced in § 31-5604.01, § 31-5604.02, § 31-5604.03, § 31-5604.04, and § 31-5606.05.