SIE: 9.2.16.4. Sale Of Securities In A Fixed-Price Offering

Taken from our SIE Online Guide

9.2.16.4. Sale of Securities in a Fixed-Price Offering

No member that participates in a selling syndicate or selling group in connection with a fixed-price offering may offer any securities in the offering at a price below the stated public offering price. This restriction applies until the offering terminates or until the issuer or underwriter is unable to continue selling the securities at the public offering price.

This restriction includes both institutional and retail customers. Selling

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