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Broker Commissions Markups

Burr & Forman

Burr Alert: Proposed FINRA Rules Governing Markups, Commissions And Fees

Burr & Forman on

Through its recent Regulatory Notice 13-07, the Financial Industry Regulatory Authority ("FINRA") announced and sought comments on its proposed amendments to rules governing markups, markdowns, commissions and fees associated...more

Katten Muchin Rosenman LLP

FINRA Offers Changes to Proposed Rules Governing Markups, Commissions and Fees

In February 2011, the Financial Industry Regulatory Authority initially sought comment on proposed rules governing markups, commissions and fees...more

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