Series 28: Settlement And Cancellation

Taken from our Series 28 Online Guide

Settlement and Cancellation

FINRA’s Uniform Practice Code Committee has authority to fix a settlement date and decide whether a contract should be honored or cancelled. The settlement date will be determined by the UPC Committee when a sufficient percentage of the issue is outstanding. The contract will be cancelled if any of the following occur:

• The UPC Committee deems it necessary to resolve any conflict regarding the c

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Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

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Nikita Brown, BMI. Atlanta, GA

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