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SDA Retail Communications Non-Distribution Clause


Book Publication Date: Jul 2013
Description: Underwriters sometimes provide information to distributors about structured products that is not meant to be forwarded to retail investors. To prevent this underwriters may want to use a clause such as the one provided here to make clear that distributors may not pass information on to investors if the underwriters has stated that the information is not for that purpose.
Type: Contract Clauses
PLI Item #: 60261
Practice Area: Corporate & Securities
Keywords: "selected dealer agreement"; "free writing prospectus"; underwriter; "broker-dealer"; FINRA; "Rule 2210(a)(4)"; distributor; "filing requirements"; "structured notes"; "good faith and fair dealing"; "retail communications"; "principal approval"; "record retention"

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