securities trading and maintain such evidence complete and up-to-date for at least five years from the transaction date and the maintenance of such evidence during the first two years shall be in such a manner
regarding communication with and providing services to clients on a case-by-case or temporary basis. In this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause
the name(s) of parties executing the transaction with the reporting person (if known)) ( ) Direct sale/purchase (please specify the name(s) of parties executing the transaction with the reporting person