New feature: Customize your PLUS research experience with
Skip to main content
- Answer Books
- Course Handbooks
Forms & Checklists
< Back To Results
1 in 1 results
SDA Retail Communications Notice Clause
Understanding the Securities Laws Summer 2013 ( Edition)
Book Publication Date:
If an underwriter has reason to believe that a distributor is forwarding information to retail investors the underwriter must assume that all information they give to the distributor will be treated as retail communications.
To avoid this, the underwriter may want to include a clause in the SDA requiring distributor to apprise them of what information they are giving to retail investors and to cease doing so if necessary.
The sample clause included here covers such a situation.
PLI Item #:
Corporate & Securities
"selected dealer agreement"
"free writing prospectus"
"good faith and fair dealing"
Add To Bookshelf
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
Request More Info
Already a subscriber? Log in
All Contents Copyright © 1996-2020 Practising Law Institute.
About PLI PLUS
PLI Librarian Blog
PLI PLUS app
Continuing Legal Education since 1933.