From the FOIA request for George Hartzman's NC State filing: Marketing and Sales Presentations - FINRA Conduct Rule 2210

"Series 6 registered representatives must abide by rules
relating to sales presentations and materials contained in FINRA Conduct Rules,
Securities Act of 1933, Securities Exchange Act of 1934
and the Investment Company Act of 1940.

NASD (now known as FINRA) Conduct Rule 2210 - Communications with the Public

a. Definitions (from Rule 2210 of the NASD (now known as FINRA) Manual)

For purposes of this Rule and any interpretation thereof,
"communications with the public" consist of:

...Any report concerning an investment company
registered under the Investment Company Act of 1940, provided that:

...ii. the report's contents have not been materially altered by the member
using the report except as necessary to make the report consistent with applicable regulatory standards
or to correct factual errors;

...vi. if a customized report was prepared at the request of the investment company,
its affiliate or a member,
then the report ...does not omit information
...necessary to make the customized report fair and balanced.

...Standards Applicable to All Communications with the Public

A. All member communications with the public
shall be based on principles of fair dealing and good faith,
must be fair and balanced, and must provide a sound basis for evaluating the facts
in regard to any particular security or type of security, industry, or service.

No member may omit any material fact or qualification if the omission,
in the light of the context of the material presented,
would cause the communications to be misleading.

B. No member may make any false, exaggerated, unwarranted or misleading statement or claim
in any communication with the public.

No member may publish, circulate or distribute any public communication
that the member knows or has reason to know contains any untrue statement of a material fact
or is otherwise false or misleading.

C. Information may be placed in a legend or footnote
only in the event that such placement would not inhibit
an investor's understanding of the communication.

D. Communications with the public may not predict or project performance,
imply that past performance will recur
or make any exaggerated or unwarranted claim, opinion or forecast.

...Standards Applicable to Advertisements and Sales Literature

• Any comparison in advertisements or sales literature between investments or services
must disclose all material differences between them,
including (as applicable) investment objectives, costs and expenses,
liquidity, safety, guarantees or insurance, fluctuation of principal or return, and tax features.

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