Section 17(a)(2) of the Securities Act of 1933 – 15 U.S.C. Sec. 77q(a)(2— - Misrepresentation or Omission in the Offer or Sale of a Security — SEC Version, prohibits any person from directly or indirectly making any untrue statement of material fact or omitting to state a material fact in connection with the offer or sale of any security. This applies to any person who is directly or indirectly offering or selling the security, or who is participating in the offer or sale. This includes brokers, dealers, agents, and advisers who are associated with the offer or sale. The section also applies to any person who is involved in the preparation or distribution of any material related to the offer or sale of the security. This includes any false or misleading information in any prospectus, registration statement, advertisement, or any other communication related to the offer or sale of the security. The types of Section 17(a)(2) of the Securities Act of 1933 – 15 U.S.C. Sec. 77q(a)(2— - Misrepresentation or Omission in the Offer or Sale of a Security — SEC Version, include: • Misrepresentation or Omission of a Material Fact: This occurs when a person knowingly or recklessly makes an untrue statement of a material fact, or omits to state a material fact in connection with the offer or sale of a security. • False or Misleading Information in Materials: This includes any false or misleading information in any materials related to the offer or sale of a security. This includes any prospectus, registration statement, advertisement, or any other communication related to the offer or sale of the security. • Broker or Dealer Participation: This applies to any person who is directly or indirectly offering or selling the security, or who is participating in the offer or sale. This includes brokers, dealers, agents, or advisers who are associated with the offer or sale.
Section 17(a)(2) of the Securities Act of 1933 - 15 U.S.C. Sec. 77q(a)(2)- Misrepresentation or Omission in the Offer or Sale of a Security - SEC Version
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