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SDA Institutional Communications Procedures Clause

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).
Form Type: Contract Clauses
Practice Area: Corporate & Securities

Date: Jul 2013
PLI Item #: 60264
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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