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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: Communications and telecommunications, Digital and mass media, Disclosure (Securities and other financial products), Regulation and compliance (Securities and other financial products), Securities and other financial products, Social media

Keywords: "selected dealer agreement"; "free writing prospectus"; underwriter; "broker-dealer"; FINRA; "Rule 2210(c)(3)(E)"; distributor; "filing requirements"; "structured notes"

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