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
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