It is a violation of FINRA rules for any member or associated person to accept any payment or consideration from another party for quoting, making a market or applying to make a market in any security. Consideration includes discounted securities, warrants, rights or any other grant or offer of securities that will allow the member or associated person to acquire the security in question at a discounted price.





NASDAQ Execution Systems

Related Articles
  1. Markets

    FINRA: How It Protects Investors

    Find out the history of FINRA, and how it's organized to monitor the markets and protect investors.
  2. Managing Wealth

    Investing In Stock Rights And Warrants

    Many companies choose to issue rights or warrants as an alternative means of generating capital to avoid dilution of existing share value.
  3. Financial Advisor

    SEC's CARDS Plan Creates Controversy for Brokers

    The securities industry isn't happy with the hand it may be dealt with the SEC's proposed CARDS rules.
  4. Trading

    Warrants: A High-Return Investment Tool

    Discover the advantages of this largely unexploited investment vehicle.
  5. Trading

    Warrants

    Learn more about this derivative security.
  6. Managing Wealth

    Finding A Discount On Your Next Bond Investment

    Discount rates have nothing to do with buying things on sale. Rather, it helps you figure out how much to pay today for a bond or cash flow in the future.
  7. Investing

    A User's Guide To Warrants

    These investment vehicles are relatively uncommon in the United States, but they do still appear in U.S. markets.
  8. Trading

    Warrants And Call Options

    Warrants and call options are securities that are quite similar in many respects, but they also have some notable differences. Both give the holder the right, but not the obligation, to buy a ...
  9. Retirement

    Benefit From Senior Discounts

    Older people can save a surprising amount using senior discounts. With Social Security payments flat for next year, this is the time to start using them.
  10. Markets

    What are Fixed-Income Securities?

    For a fixed-income security, the periodic return on the investment is the same throughout the life of the security. Principal is returned at the time of maturity. The payment can be in the form ...
Trading Center