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SDA Institutional Communications Procedures Clause
Understanding the Securities Laws Summer 2013 ( Edition)
Book Publication Date:
FINRA rules require institutional communications to be subject to written procedures and record retention requirements.
The sample clause included here could be included in SDAs by an underwriter to ensure compliance with FINRA Rules 2210(a), (b)(3) and (b)(4).
PLI Item #:
Corporate & Securities
"selected dealer agreement"
"free writing prospectus"
"good faith and fair dealing"
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