Question

An issuer has filed a registration statement with the SEC, but the registration is not yet effective. The issuer subsequently files additional documentation with the SEC to meet its "full and fair disclosure" obligation. Any agent that is contacting a potential customer to buy the issue must provide the customer with the:

Answer 1

Answer: Preliminary prospectus; Prospectus supplement

Explanation:

From the question, we are informed that an issuer has filed a registration statement with the SEC, but the registration is not yet effective and that the issuer subsequently files additional documentation with the SEC to meet its "full and fair disclosure" obligation.

It should be noted that any agent that is contacting a potential customer to buy the issue must provide the customer with the preliminary prospectus and the prospectus supplement.