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SDA Retail Communications Representative Clause
Understanding the Securities Laws Summer 2013 ( Edition)
Book Publication Date:
FINRA rules require that retail communications be fair and balanced and provide a reasonable basis for evaluating the offered securities.
The rules also contain review and record retention requirements in connection with retail communication documents.
In selected dealer agreements underwriters will want to include a clause such as the one included here to ensure that distributors comply with FINRA rules.
PLI Item #:
Corporate & Securities
"selected dealer agreement"
"free writing prospectus"
"Rule 2210(b)(4)" distributor
"good faith and fair dealing"
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