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SDA Prospectus Filing Disclaimer Clause

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. If the underwriter has no intention of filing the prospectus they may want to make that clear by inserting a clause in the selected dealer agreement. A sample clause for that purpose is included here.
Type: Contract Clauses
PLI Item #: 60259
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)"; distributor; "filing requirements"; "structured notes"

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