Skip to main content

Download Form

SDA Prospectus Filing Disclaimer Clause

Description: FINRA rules require the filing of certain free writing prospectuses in connection with structured notes. Underwriters sometimes provide free writing prospectuses to broker-dealers which require filing. If the underwriter has no intention of filing the prospectus they may want to make that clear by inserting a clause in the selected dealer agreement. A sample clause for that purpose is included here.
Form Type: Contract Clauses
Practice Area: Corporate & Securities

Date: Jul 2013
PLI Item #: 60259
Keywords: "selected dealer agreement"; "free writing prospectus"; underwriter; "broker-dealer"; FINRA; "Rule 2210(c)(3)"; distributor; "filing requirements"; "structured notes"
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