Debt Mark-Ups: Current Regulatory Environment

Cost Members - $500
Non-Members - $700
Duration ½ Day
Time 8:30 am - 1:45 pm
CRCP Credits 3
CRCP CE Credits 3
CPE Credits 4
CPE Course Type Overview
Location Date Code

New York, NY  

October 28, 2008

CL2381- Register Online Now
Venue

The Coleman Center
810 Seventh Avenue
(between 52nd and 53rd Street)
New York, NY 10019

 

Other Registration Options & Cancellation Policy

 

October Course Agenda (PDF 29 KB)

 

This course qualifies for FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) credit for candidates who have taken courses prior to January 2007. Participants taking the course who are not CRCP Program candidates prior to January 2007 are not required to take the assessment exercise and will not earn CRCP credit.

 

Course Description


This course addresses rules and regulatory guidance surrounding mark-ups on debt securities transactions. Coursework covers the identification of prevailing market price and the factors to consider when determining mark-ups. Past cases illustrate how to apply pricing and mark-up factors.

After completing this course, you will be able to:

  • Summarize NASD Rule 2440, IM-2440-1 (Mark-Up Policy) and IM-2440-2 (Debt Mark-Up Policy)
  • Explain the obligations in NASD Rule 2110, MSRB Rule G-18 (Execution of Transactions) and Rule G-30 (Prices and Commissions)
  • Apply pricing and markup factors to determine whether a markup is "excessive"
  • Discuss issues in determining the prevailing market price
  • Employ recent guidance from the MSRB and SROs

Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.