Series 55

Trading Over The Counter And NASDAQ Securities - Payments For Market Making

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.



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