Montana oil and mining journal. [volume] (Great Falls, Mont.) 1931-1953, 1940-12-07


toned in the original letter of mott
fication until a supplementary letter
stating the name of that jurisdiction
has been filed However, state
ment that all or part Of the offer
ing is to be made by use of the
facilities of a securities exchange
(naming the exchange) shall suffice
as to the securities to be so offered.
60 If the securities are to be
offered by, on behalf Of or for the
benefit of the issuer. the purposes
for which the net proceeds from
the securities are to be used.
% An original and two copies
of each letter of notification shall
be filed with the regional office of
the Commission for the region in
which the issuers principal place
Of business is located or, If the
issuer's principal place of business
is located in the State of Maryland,
Delaware. Virginia or West Virginia
or in the District of Columbia, with
| the Commissions Washington, D. G.
field office. Form S-3b-1 may be
used in supplying the information
required to be set forth in the
letter Of notification.
(c) Any change in the matters
stated in the letter of notification
shall be set forth in supplement
tary letter of notification need be
filed with respect to a change in
the offering price of securities
which are being offered at the
market.
Rule 223. Written Communica-
tiOns, Advertisements and Radio
Breakfasts.
(a) Three copies of every writ
ten communication, advertisement |
or radio broadcast prepared or ]
authorized by the issuer, any per-
son controlling, controlled by, or
under common control with, the |
issuer. or any principal underwater |
of the securities to be offered, which |
is proposed to be used at the COM
mencement of the public offering
under this regulation or intended
to be sent or delivered thereafter
to more than ten persons shall be
filed, prior to any use Thereon,
with the office of the Commission
with which the letter of nOtifica-
ton is filed: Provided, That there
need not be filed copies of any
communication which does no more
than identify the securities, state
the price thereof, and state by
whom orders will be executed.
Note: The material filed pur-
suant to this rule is required to
be filed solely for the information
of the Commission to aid it in the
of Section IL of the
Act. and not for the purpose CT en-
abling the Commission to cite any
deficiency in the information con-
tanned therein. The failure of the
at any time to take
action upon any information filed
pursuant to this rule does not indi-
cate that the Commission considers
the information accurate, complete
or not misleading)
OBJ Every written commission. .
or radio broadcast,
a copy of which is required to be
filed with the Commission pursuant
to this rule, shall contain a state ,
nent in subsequently the following ;
form: f.
Because these securities are be-
ieved to be exempt from registra-
ion. they have not been ref Stered
with the Securities and Exchange
but such exemption, :
If available, does not indicate that =
he securities have been either APP !
proved or disapproved by the Com q
mission or that the Commission has ,
considered the accuracy or conn +
of the statements in this n
commission.
In written communications and
advertisements the statement shall
,e set forth on the first page in
ype as large as that used generally
n the body thereof.
(c) No written communication,
or radio broadcast, a
iopy of which is required to be
lied with the Commission pursuant
o this rule. shall be used unless
t contains the following informa-
ion:
% The names of the person or
by, on behalf of, OF for
he benfit of whom the securities
Lre being offered
90 The number of shares or
,ther units being offered and the
mount Of underwriting discounts :
,r commissions per unit or,
lone, the per unit amount of ex-
,enses incurred or to be incurred 4
n connection with the distribution
" the securities estimate il neces-
ary) III
CD The aggregate amount of
discounts and COM
MISSIONS or, if none, the aggregate
mount of expenses incurred or to
,e incurred in connection with the
distribution of the securities (esti-
nate if necessary
"a II the securities are being
filtered by, ON behalf of, or for
ne benfit of the issuer, the pur-
POSES for which the net proceeds
rom the securities are to be used.
Rule 224. Prohibition OF Ger
ain Representations.
No written or oral communica-
ion used in connection with any
ffering under this regulation shall