Through its recent Regulatory Notice 13-07, the Financial Industry Regulatory Authority ("FINRA") announced and sought comments on its proposed amendments to rules governing markups, markdowns, ...
On May 14, 2018, the Mark-Up Disclosure rule became the law of the land. For the first time brokers became required to put the amount of money they made on fixed income retail trades onto their trade ...
WASHINGTON — Dealers acting as principals would have to disclose markups and markdowns in transactions with retail customers under rule changes proposed by the Municipal Securities Rulemaking Board.
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