retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory
wishes to request for exemption from the Securities and Exchange Commission, as follows: Name Prohibited characteristics requested for exemption
, the company wishes to request for exemption from the Securities and Exchange Commission, as follows: Name Prohibited characteristics requested for exemption
main office of the securities underwriter for the period of at least one year from the offering closing date in such a manner that can be promptly presented to the Office upon request. The fair
one year from the offering closing date in such a manner that can be promptly presented to the Office upon request. The fair allocation under the first paragraph shall not include allocation of shares
upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities company shall segregate assets under its custody as assets of clients in not less than the following amount: (1) Money: the
and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities