Compliance

Brokers Commentary Compliance Investors

Markups, Markdowns

In recent years, markups have become a growing concern for regulators, and brokerage firm markup policies and procedures have come under increasing scrutiny from the SEC and the NASD. Essentially, a markup, or markdown, is the amount of money above (or below) the “inside” market that a broker dealer may […]

Compliance Other

Privacy Policy

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