Series 99: 3.1.11 Interpositioning

Taken from our Series 99 Top-off Online Guide

3.1.11 Interpositioning

Interpositioning is the practice of inserting a third party between a broker-dealer and the best available price in the market when it results in a higher price to the customer than would otherwise have been necessary. For example, suppose a broker-dealer passes a customer order to another broker-dealer to purchase the security from the market. Each brok

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