Series 7: 17.6.2.1 Broker-Dealer Market Access Rules

Taken from our Series 7 Top-off Online Guide

17.6.2.1 Broker-Dealer Market Access Rules

Issuer payments to market makers. OTC market makers may not accept any payment from an issuer solely for posting a quotation or acting as a market maker for a security. A market maker’s quotes should be based on market conditions and a market maker’s own inventory and exposure to risk. It should not be influenced by payments from issuers or promoters.

Publication of transactions and quotations. Members may not publish any communication that reports a purchase or sale of a security unless they believe it was a bona fide transaction. Moreover, they may not ci

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