SECTION 137.4. Tombstone Advertisements

"Tombstone" advertisements need not be filed pursuant to §137.2(a) of this title (relating to Filing Requirements) and are not subject to the requirements of §137.6(a) of this title (relating to Standards for Supplemental Advertising) if they contain no more than one or more of the following:

(1) date of issuance or release;

(2) name and address of issuer;

(3) identity or title of securities;

(4) per unit offering price;

(5) amount of offering;

(6) brief statement of character or business taken from summary in the preliminary or final prospectus;

(7) names of the underwriters;

(8) address where prospectus or offering circular may be obtained; or

(9) any statement or legend required by state law or administrative authority.

Source Note: The provisions of this §137.4 adopted to be effective August 12, 1980, 5 TexReg 3043