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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
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CFP® Certification CE
FINRA e-Learning
Regulator
Type
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.