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5% markup Pol.

QuestionAnswer
What is the 5% markup policy? A policy established to ensure fair/reasonable commissions on SECONDARY trades
What transactions are covered? - Principal/Dealer - Agency/ Broker - Riskless trades - buying a security into inventory just to resell it - Proceeds transactions - Selling a customer's security to purchase another
What transactions are exempt? - Securities sold by Prospectus: - Mutual funds - Variable annuities - IPO's - Municipal bonds - Government Debt
What're the factors for the 5% markup policy? - Size of security - Current market price
Created by: user-2068186
 

 



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