Rule 392. Notification Requirements for Offerings of Listed Securities
This rule is no longer applicable effective December 15, 2008.
(a) A member or member organization which acts as the lead underwriter of any offering in a listed security, shall notify the Exchange of such offering in such form and within such time frame as may be prescribed by the Exchange and shall provide the information required below:
1. name of security
2. symbol
3. type of security
4. number of shares offered
5. offering price
6. date of pricing
7. time of pricing
8. pricing basis (e.g., NYSE or Consolidated close)
9. beginning and ending dates of restricted period under Regulation M (if applicable)
10. syndicate members
11. firm submitting notification
12. name of individual submitting notification
13. telephone number
14. such other information as the Exchange may from time to time require
(b) Any Exchange member or member organization effecting a syndicate covering transaction or imposing a penalty bid or placing or transmitting a stabilizing bid in a listed security shall provide prior notice of such to the Exchange in such format and within such time frame as the Exchange may from time to time require.
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Amendment. July 24, 1997. |