Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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General Rules and Regulations
under the
Securities Act of 1933

Rule 135b -- Materials Not Deemed an Offer to Sell or Offer to Buy Nor a Prospectus

Materials meeting the requirements of Rule 9b-1 shall not be deemed an offer to sell or offer to buy a security for purposes solely of Section 5 of the Act, nor shall such materials be deemed a prospectus for purposes of Sections 2(a)(10) and 12(a)(2) of the Act, even if such materials are referred to in, deemed to be incorporated by reference into, or otherwise in any manner deemed to be a part of a Form S-20 prospectus.

Regulatory History

47 FR 41955, Sept. 23, 1982; 67 FR 228, 230, Jan. 2, 2002]

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