Business, 20.09.2020 14:01 levelebeasley1

In what is commonly known as a proceeds transaction, one of your clients is using the proceeds from the liquidation of one stock to purchase another stock. In compliance with the 5% markup policy for these transactions, the markup will be computed based on A) the compensation to the dealer for each side of the transaction separately. B) the markup or compensation to the dealer on the buy side of the transaction. C) a combination of both the buy side and the sell side compensation to the dealer.

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In what is commonly known as a proceeds transaction, one of your clients is using the proceeds from...

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