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SDA Institutional Communications Procedures Clause


Book Publication Date: Jul 2013
Description: 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).
Type: Contract Clauses
PLI Item #: 60264
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)"; "Rule 2210(b)(3)"; "Rule 2210(b)(4)"; distributor; "filing requirements"; "structured notes"; "good faith and fair dealing"; "retail communications"; "principal approval"; "record retention"

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