FINRA: Debt Mark Ups and Disclosure Requirements
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.
Find this course for your license
License or Certification
Regulator
Type
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
Course Information
Adding additional credit may change exam requirements.
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S2-32 - Framework