Skip to main content

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: 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(a)(4)"; distributor; "filing requirements"; "structured notes"; "good faith and fair dealing"; "retail communications"; "principal approval"; "record retention"

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