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.

Learning Objectives

Upon completion of this course, students will be able to:

  • 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

All registered representatives and registered principals
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