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SDA Correspondence Clause


Book Publication Date: Jul 2013
Description: Correspondence, as defined under FINRA rules, from distributors with respect to securities is subject to written procedures requirements and record retention requirements. Underwriters may want to include a clause such as the sample included here to ensure compliance with FINRA rules.
Type: Contract Clauses
PLI Item #: 60265
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 3010(d)"; "Rule 3010(d)(3)"; "Rule 4511"; distributor; "filing requirements"; "structured notes"; "good faith and fair dealing"; "retail communications"; "principal approval"; "record retention"; "correspondence"

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