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SDA Prospectus Filing Disclaimer Clause
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.
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.
PLI Item #:
Corporate & Securities
"selected dealer agreement"
"free writing prospectus"
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