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La SEC aprueba que FINRA solicite información sobre mark-ups en operaciones de deuda

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FINRA Receives SEC Approval for Enhanced Price Disclosure to Retail Investors
Foto: Christine und Hagen Graf . La SEC aprueba que FINRA solicite información sobre mark-ups en operaciones de deuda

Autor: Fórmate a Fondo

  1. The Securities and Exchange Commission has approved FINRA’s proposal requiring its member firms to disclose on retail customer confirmations the “mark-up” or “mark-down” for most transactions in corporate and agency debt securities
  2. The SEC has approved a similar proposal from the Municipal Securities Rulemaking Board
  3. The disclosure requirement will not apply to securities acquired in a fixed-price offering and sold the same day to the retail customer at the fixed price offering price, or in situations where the firm does not have an offsetting principal trade in the bonds sold to the retail customer on the same day