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Code · Hawaii · Hawaii Revised Statutes

[§485A-504] Filing of sales and advertising literature.

134 words·~1 min read·/hi/485a-504

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[§485A-504] Filing of sales and advertising literature.
(a)Except as otherwise provided in subsection
(b)and section [485A-501(a)(7)], 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.
(b)This section shall not apply to sales and advertising literature specified in subsection
(a)that relate to a federal covered security, a federal covered investment adviser, or a security or transaction exempted by section 485A-201, 485A-202, or 485A-203, except as required pursuant to section 485A-201(7). [L 2006, c 229, pt of §1]
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