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