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five-percent rule

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five-percent rule
A National Association of Securities Dealers rule that requires its members to use ethical and fair standards when setting commissions and establishing quotation spreads. Although members may set markups and markdowns in excess of 5%, they must be able to justify the commissions and spreads if complaints are filed.
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Although the term "small portion" is not defined, we recommend that the regulations confirm that a five-percent rule is reasonable.
Notice 98-29: optional forms of benefits under defined contribution ... by Tax Executive
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