Overview
This course covers rules and regulatory guidance surrounding the identification of prevailing market price and the factors to consider when determining mark-ups on transactions in debt securities.
Learning Objectives
- describe specific regulatory rules and guidance regarding fair prices and debt mark-ups.
- define and identify the prevailing market price of a debt security.
- explain factors to consider in determining fair mark-ups (mark-downs) on transactions in debt securities.
Designed For
Registered representatives and registered principals
Find this course for your license:
License or Certification
Regulator
Type