Series 55

Market Maker Responsibilities - Introduction

In addition to the requirements to become a market maker, firms must follow strict guide- lines when acting as a market maker. Market makers must adhere to all rules relating to their participation in the over the counter market. Entering quotes, executing orders, and operating as a market maker during an offering are just some of the activities that have very specific standards of operation. All Series 55 candidates must have an in-depth understanding of market maker rules and regulations in order to successfully complete the Series 55 Exam.



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