Free Writing Prospectuses: Legal Principles and Best Practices

02/10/2016 12:00 p.m. - 01:00 p.m. EDT

Capital Markets, Broker-Dealer Compliance + Regulation, Debt Offerings + 144A Offerings, and Structured Products

Lloyd S. Harmetz


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Trevor Starer
(212) 336-4310

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The free writing prospectus (FWP) recently celebrated its 10th birthday as a lawful document in the United States of America. We will mark the occasion with a one hour seminar discussing these documents. We will discuss:

  • The SEC rules and guidance governing the use of these documents;
  • The intersection of these SEC rules with applicable FINRA regulations;
  • Practices that have emerged in the marketplace in connection with the drafting and use of FWPs; and,
  • The limitations imposed on the use of these documents by reporting companies that have lost their WKSI status.


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