Mark Up Mark Down - Overview

On November 17, 2016, The SEC approved FINRA Rule 2232 and MSRB Rule(s) G-15 and G-30, which require members to disclose additional pricing information on retail customer confirmations related to transactions in fixed income securities. FIF will be holding Ad Hoc working group meetings leading up to the May 17, 2018 implementation date, including detailed discussions regarding calculations of the prevailing market price pursuant to the rules' requirements.

© 2020 Financial Information Forum

Press enter to search
Press enter to search

Interested in joining us?

Download membership kit

Key Reasons to Join

  1. Stay informed on Current Regulatory and Market Initiatives
  2. Drive Industry Issues to Successful Resolution
  3. Impact the implementation timing and methodology of new rules
  4. Apply FIF Insight Within Your Firm