Mark-Up Disclosure Requirements

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South Dakota CLE
Accreditation Info

CLE is voluntary for South Dakota attorneys. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

With a focus on FINRA and MSRB mark-up disclosure requirements, this advanced CLE course will review securities covered by the rule and how to calculate mark-ups on the basis of the prevailing market price. Effective practices and tips as well as indicators for when disclosure requirements are triggered will be presented along with the latest in MSRB guidance. Mark- Disclosure Requirements
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