Series 99: 3.1.10 Best Execution

Taken from our Series 99 Top-off Online Guide

3.1.10 Best Execution

Brokers are required to make reasonable efforts to find as favorable a price as possible for a customer’s transaction given the prevailing conditions of the market. In deciding how and where to execute a trade, a broker-dealer is expected by FINRA to consider these factors:

• Character of the market for the security, including its price, volatility, and liquidity
• Size and

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