In recent years, markups have become a growing concern for regulators, and brokerage firm markup policies and procedures have come under increasing scrutiny from the SEC and the NASD. Essentially, a markup, or markdown, is the amount of money above (or below) the “inside” market that a broker dealer may […]
Tag: Primers
Enforcing Arbitration Awards
You may need a court order to enforce an arbitrator’s award By Mark J. Astarita, Esq. Arbitration awards are not, by themselves, enforceable in a court of law. The prevailing party must have the award “confirmed” by a court. The procedure is relatively simple and is governed by state and […]
