What information do I need to start the underwriting process for a new issue?
A. Most, if not all, of what you’ll need will likely be found in the preliminary offering documentation, e.g., the prospectus, official statement, offering circular and offering memorandum. You’ll need to know specific security information such as the type of security, name of the security, and the expected closing date. You will be required to submit the same kind of information that you do todayincluding issuer name, security type, closing date, CUSIP or ISIN information, etc.
