Series 99: 3.1.2 Selling New Issues At Discounts

Taken from our Series 99 Top-off Online Guide

3.1.2 Selling New Issues at Discounts

Member firms must sell mutual funds and other new issues (initial public offerings) to the public at their public offering price. No sales or discounts can be made to non-FINRA members. This also means that all offers must be made at the security’s stated price and a firm cannot hold “sales” on securities. This also means you can’t promise a discount to a customer for being a good customer.

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