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

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: Corporate & Securities
Keywords: "selected dealer agreement"; "free writing prospectus"; underwriter; "broker-dealer"; FINRA; "Rule 2210(c)(3)"; 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