Series 99: 3.3.2.1 Markup Disclosure On Customer Confirmations

Taken from our Series 99 Top-off Online Guide

3.3.2.1 Markup Disclosure on Customer Confirmations

Depending on the circumstance, broker-dealers may be required to disclose markups or markdowns on transactions involving corporate, municipal, or agency bonds (but not Treasury bonds). Only retail transactions where the broker-dealer executed offsetting principal transactions

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