FINRA Webcast

Debt Mark-ups

This webcast covers the rule that guides pricing of debt securities and a related interpretation. It explains FINRA’s Fair Prices and Commissions Rule—which requires that the price be fair when a dealer either buys securities from a customer or sells securities to a customer for the dealer's own account—and provides an example to apply some of the presented concepts.

 

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Related Resource:

NASD Rule 2440

 

NASD Rule 2110

 

IM-2440-1

 

IM 2440-2

 

Notice 07-28


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