Series 14: 4.1.3.5. Market Makers

4.1.3.5. Market Makers

Market makers are dealers that do not carry customer accounts but do engage in the following activities:

• Regularly publish competitive bid and offer quotations in a recognized inter-dealer quotation system

or

• Furnish competitive bid and offer quotations on request

and

• Are ready, willing, and able to effect transactions in reasonable quantities at quoted prices with other brokers or dealers

Market makers must carry at least $100,000 but will not be required t