Mark-Up / Mark-Down Compliance

Automate mark-up and mark-down calculations, exception detection, and customer disclosure obligations. EQube ensures fixed income transactions comply with FINRA Rule 2232 and MSRB Rule G-15.

• Automated mark-up/mark-down calculation for principal transactions.
• Exception detection for transactions exceeding policy thresholds.
• Customer disclosure generation meeting FINRA Rule 2232 requirements.
• Supervisory review workflow for exception dispositions.
• MSRB Rule G-15 compliance for municipal securities transactions.

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