4.2.5.4. Lead Underwriter Recordkeeping Responsibilities
Sometimes an underwriter does not form a syndicate for a primary offering. In this instance, the sole underwriter must maintain the following records:
• The description and aggregate par value of the securities
• A statement of all terms and conditions required by the issuer
• All orders received for the purchase of the securities from the underwriter
• All allotments of securities and the price at which sold
• Those instances in which the underwriter accorded equal or greater priority to orders for its own account or its related accounts over other orders, and the reasons for doing so
• The date and amount of any good faith deposit made to