In general, this form should be used to submit the following communications for principal approval prior to distributions:
emails to over 25 persons
investment fund profiles.
Offering documents (e.g. PPM, CIM, or Subscription Package) created by an issuer are not required to be approved prior to distribution.
If possible, it is strongly advised to allow the client to distribute marketing communications, as such communications are not subject to FINRA restrictions on public communications.
Please review the notification for any changes to the document made by the principal and/or any limitations imposed upon distribution.