Series 99: 3.1.6 Payments For Market Making

Taken from our Series 99 Top-off Online Guide

3.1.6  Payments for Market Making

Market makers are not allowed to take any type of compensation from an issuer (or affiliate of an issuer) for making a market in a security, except as payment for bona fide services, such as underwriting compensation and fees. Market makers may accept reimbursements of regulatory expenses or payment for provided services.

FINRA Rule 5250

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