3.5.3. Underwriter Recordkeeping Responsibilities
If there is no syndicate, 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 the issuer
• The date of settlement with the issuer
If there is a syndicate, the managing underwriter must maintain all of the records listed previously, and also:
• The name and percentage of parti