Filing requirement. Except as otherwise provided in subsection (b), a rule adopted or order issued under this chapter may require the filing of a prospectus, pamphlet, circular, form letter, advertisement, sales literature, or other advertising record relating to a security or investment advice, addressed or intended for distribution to prospective investors, including clients or prospective clients of a person registered or required to be registered as an investment adviser under this chapter.
Excluded communications. This section does not apply to sales and advertising literature specified in subsection (a) which relates to a federal covered security, a federal covered investment adviser, or a security or transaction exempted by Section 75-71-201, Section 75-71-202, or Section 75-71-203 except as required pursuant to Section 75-71-201(7).
Structure Mississippi Code
Title 75 - Regulation of Trade, Commerce and Investments
Chapter 71 - Mississippi Securities Act of 2010
Article 5 - Fraud and liabilities
§ 75-71-502. Prohibited conduct in providing investment advice
§ 75-71-503. Evidentiary burden
§ 75-71-504. Filing of sales and advertising literature
§ 75-71-505. Misleading filings
§ 75-71-506. Misrepresentations concerning registration or exemption
§ 75-71-507. Qualified immunity