proposed amendments, an IPO issuer would prepare and disclose the necessary information in the visual and audio formats to better respond to investors? growing habit of accessing news and information from

. Audio and/or video recordings, as the case may be, of an entire meeting shall be permitted, including the recording of computer traffic data generated by such recordings. A notice for a unitholders

that should have been recorded on audio tape were reported on a written trading order form instead. Evidence of trading order execution is critical and very useful, especially in case of disputes among

orders in large volumes. The practice may aim to mislead other investors by creating a false impression of escalating bid or offer demands at a given time, or it may be an obstruction to the buying or

or offer demands at a given time, or it may be an obstruction to the buying or selling activities of other investors, consequently compelling them to send trading orders at prices higher or lower than

person under consideration; the penalty he/she has already served; the impacts, loss or benefit incurred; any steps taken to rectify past conduct; the cooperation or obstruction with SEC’s investigation

past conduct; the cooperation or obstruction with SEC’s investigation; and any previous record or past behavior which indicating that the subject person is not fit and proper to work in capital market

statement of an offer for sale of securities in the category of units. “investor” means any person interested in investing in units. “statement” means any matter or fact, whether alphabetic, numeric, audio

made via telephone or by electronics mean, a record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its

record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its customers, confirmation statement, evidence of