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SDA Retail Communications Non-Distribution Clause
Understanding the Securities Laws Summer 2013 ( Edition)
Book Publication Date:
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.
PLI Item #:
Corporate & Securities
"selected dealer agreement"
"free writing prospectus"
"good faith and fair dealing"
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