61A registered dealer that recommends a purchase, sale, exchange or hold of a security in any circular, pamphlet, advertisement, letter or other publication issued, published or sent by the registered dealer and intended for general circulation shall, in type not less legible than that used in the body of the publication, disclose
(a)
whether the registered dealer or any of the registered dealer’s officers or directors has at any time during the preceding 12 months assumed an underwriting liability with respect to the security or for consideration provided financial advice to the issuer of the security, and
(b)
whether the registered dealer or any of the registered dealer’s officers or directors will receive any fees as a result of the recommended action.