determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
: (1) Notify the unitholder registrar to acknowledge the limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine
the performance of duties of the underwriter The underwriter must examine and co-sign the report of shares allocation to sponsors (form 81-1-IPO 200) to certify that “the company has a monitoring
' meeting and the offering price can be categorized as an offering at a discount. Consideration of whether or not the offering price is at a discount must examine the rules on offering of securities at a