The syndicate manager in an offering of securities must collect and retain information regarding stabilizing transactions, syndicate covering transactions, and penalty bids. The Commission does not receive such information and uses it only upon request pursuant to an investigation.
The latest form for Rule 17a-2, 17 CFR 240.17a-2 (Recordkeeping Requirements Relating to Stabilizing Activities) expires 2023-07-31 and can be found here.
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
Supplementary Document |
Supplementary Document |