Client Alert

The Financial Industry Regulatory Authority, Inc. recently proposed revised consolidated FINRA rules governing markups, markdowns, commissions, and fees. The rule proposal includes the most significant changes with respect to markups in many years. The proposed changes would consolidate and materially revise several NASD and NYSE rules. 

We have always been focused on finance.

  • 1913
    TS Chapman partners with Henry Cutler to form Chapman and Cutler
  • 1st
    Chapman's first client in 1913 is still a client of the firm today
  • 22
    Diverse financial practices serving regional, national, and global clients
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    Offices across the country and in key US financial centers

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