Debt Mark-Ups: Current Regulatory Environment

Cost	Members - $525 Non-Members - $750
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
TBD	Available in 2010	TBD
Venue
TBD

 

Other Registration Options & Cancellation Policy

 

Tentative 2010 Course Agenda (PDF 39 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 FINRA and MSRB rules governing fair pricing, commissions and mark-ups
• Understand how the requirements to observe high standards of commercial honor and just and equitable principles of trade apply to the determination of mark-ups on debt securities
• Apply pricing and mark-up factors to determine whether a mark-up is “excessive”
• Discuss issues in determining the prevailing market price
• Employ recent guidance from the MSRB and SROs