New feature: Customize your PLUS research experience with My Preferences. Learn more.
Skip to main content

SDA Prospectus Filing Clause Sample


Book Publication Date: Jul 2013
Description: FINRA rules require the filing of certain free writing prospectuses in connection with structured notes. Underwriters sometimes provide free writing prospectuses to broker-dealers which require filing. Broker-dealers may want to insert a clause, such as the sample provided here, in selected dealer agreements that requires underwriters to notify them if a free writing prospectus has already been filed and thus is exempt from filing.
Type: Contract Clauses
PLI Item #: 60258
Practice Area: Corporate & Securities
Keywords: "selected dealer agreement"; "free writing prospectus"; underwriter; "broker-dealer"; FINRA; "Rule 2210(c)(3)(E)"; distributor; "filing requirements"; "structured notes"

Thank you for exploring PLI PLUS.
The content on this page is only available to subscribers.

To learn more about PLI PLUS subscriptions
please click on the link below or contact us at PLUS@pli.edu.