) purchase from securities offeror or sale to investor under securities underwriting agreement; (2) purchase or sale according to a client’s order which is not guided or solicited by the securities underwriter
securities underwriting agreement; (2) purchase or sale according to a client’s order which is not guided or solicited by the securities underwriter (unsolicited purchase or sale); (3) purchase or sale for its
guided or solicited by the securities underwriter (unsolicited purchase or sale); (3) a purchase for its own proprietary portfolio resulted from an error in making trading orders for clients; (4) a
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