Compensation, Custody, Discretion and Standards of Care Flashcards for the Series 65 (40 cards): Passline

Compensation, Custody, Discretion and Standards of CareFree0 of 40

FINRA's fair-price guide for markups, markdowns and commissions is the Policy

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Answer

Markups, markdowns and commissions must be fair and reasonable in principal, agency and proceeds trades alike.

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