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SDA Prospectus Filing Clause Sample
Understanding the Securities Laws Summer 2013 ( Edition)
Book Publication Date:
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.
PLI Item #:
Corporate & Securities
"selected dealer agreement"
"free writing prospectus"
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