Series 65: 10.10.6.3 Describing A Price As “At The Market” If It Is Not

Taken from our Series 65 Online Guide

10.10.6.3 Describing a Price as “At the Market” If It Is Not

Broker-dealers are prohibited from using the term “at the market” to describe a security’s price, unless they reasonably believe that an active market for that security exists.In other words, if the only firm that buys or sells a security is the client’s firm, it would be unethical for a representative of the firm to say that the security is being sold “at the market” price.

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