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SEC Seeks Comment on FINRA Proposal to Apply Mark-Up Rule to Government Securities

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October 5, 2015

Client Alert
The Financial Industry Regulatory Authority, Inc. recently filed a proposed rule change with the Securities and Exchange Commission to apply FINRA rules on bond mark-ups and commissions to transactions in exempted securities that are government securities. Government securities include securities which are direct obligations of, or obligations guaranteed as to principal or interest by, the United States and certain agency securities. 

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