Free Webinar: Mark-Ups/Fixed Income

This free webinar will focus on current FINRA rules and audit implications of Fixed Income markup. The learning objectives are: 1) How to defend your markup policy, and 2) the evidence required to support it. The 3 key learning points are: A. Current FINRA rules, understanding them. B. Issues when dealing with OTC Fixed Income securities traded on a risk-less principal basis. C. How to defend your markup policy on a regulatory exam.

Title: Mark-ups / Fixed Income
Date: Wednesday, June 4, 2014
Time: 12:45 PM – 1:05 PM PDT

After registering you will receive a confirmation email containing information about joining the Webinar.

System Requirements
PC-based attendees
Required: Windows® 8, 7, Vista, XP or 2003 Server

Mac®-based attendees
Required: Mac OS® X 10.6 or newer

Mobile attendees
Required: iPhone®, iPad®, Android™ phone or Android tablet

Space is limited.
Reserve your Webinar seat now at:

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