FINRA: Debt Mark Ups and Disclosure Requirements

Course Description

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 Objective(s)

This course aims to help you:

  • 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.

Complexity

Intermediate

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