Prospectus and Offering Documentation Information

Advisors Asset Management, Inc. ("AAM") has adopted the "Access Equals Delivery"* model for delivery of offering disclosure documents, including, without limitation, prospectuses, prospectus/pricing supplements and official statements in an effort to go green and reduce paper. This method of offering disclosure document fulfillment is available for the types of securities listed below. To access offering disclosure documents, please visit the websites listed below for applicable securities. Please review the materials carefully, including the disclosures of the risks associated with the ownership of the securities. Nothing contained herein shall constitute an offer to sell or a solicitation of an offer to purchase any security. AAM makes no representation or warranty, express or implied, as to the accuracy or completeness of the materials contained herein.

Government Sponsored Enterprise Debt

  1. Federal Home Loan Bank (FHLB)

  2. (FHLB) Bond issued after March 2012

  3. Federal National Mortgage Association (FNMA) - debt securities

  4. Federal National Mortgage Association (FNMA) - mortgage backed

  5. Federal Farm Credit Bank (FFCB)

  6. Federal Home Loan Mortgage Corporation (FHLMC) - debt securities

  7. Federal Home Loan Mortgage Corporation (FHLMC) - mortgage backed

  8. Government National Mortgage Association (GNMA)

Corporate Bonds, Preferred Stocks, Equity Securities

  1. EDGAR - SEC Companies Search

Municipal Securities

  1. MSRB - Electronic Municipal Market Access

Contact Us

For a printed copy of the offering disclosure documents

  1. 719-488-9956 (Security Master Department)

  2. securitymaster@aamlive.com


We will send you a copy of the final prospectus, official statement or other offering document relating to your transaction upon your request

*Pursuant to certain rules and policies promulgated by the Securities and Exchange Commission, the Municipal Securities Rulemaking Board and other agencies listed above, AAM may be exempt from the requirement to deliver a hard copy of the final offering disclosure documents to purchasers in certain public offerings of securities. These rules permit underwriters and dealers such as AAM instead to fulfill their offering disclosure documents delivery requirements through an "access equals delivery" framework whereby the customer will be deemed to have received delivery of the final offering disclosure documents by virtue of its availability on public websites.