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Interdealer quotation system Form: What You Should Know
B) The quotation medium has identified a record keeper established under 16 CFR Part 1210, Subpart B, and is using that record keeper to determine whether the information submitted to it by Member or Dealer may be used to satisfy the requirements of this rule. The record keeper is able to retain and provide the member or dealer with a copy of or access to the information submitted, as appropriate, through the quotation medium. (D) The record keeper provides a summary of all submissions made to the quotation medium by the issuer that is reasonable and complete. (E) The summary is provided to the issuer within five days of receipt of the submission. If the summary is provided to the member or the dealer at the same time the submission is provided, a copy of the summary must be provided if requested within five days, or mailed, within 24 hours to the information custodian established under Section 16 CFR 1210. (2) The record keeper has established and maintains records of the information required under paragraph (1)(D) of this rule. (3) The record keeper can provide the following information to the applicant: (a) Whether an application was completed by or on behalf of the member or dealer; (b) In the case of a submission by a member, the name and address of the issuer of the security offered by the member; (c) In the case of a submission by a dealer, the name and address of the issuer of the security offered by the dealer; (d) In the case of a submission made by (i) the United States securities insurance trust, the United States public utility, or the Financial Industry Regulatory Authority, the name and address of the appropriate officer for service of process for the applicant; and (ii) the issuer of the security offered or sold by the broker or dealer, the name and address of the party to receive service of process on behalf of the applicant; and (e) If the description of the security to be offered or sold does not include an option, the identity of the option owner.
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