Series 99: 2.1.4 Trade Comparison And Settlement

Taken from our Series 99 Top-off Online Guide

2.1.4 Trade Comparison and Settlement

The clearing and settlement process generally involves two steps: trade comparison and delivery. For securities traded on NASDAQ, trade comparison is made by each party’s clearing firm. NASDAQ’s ACT “locks in” the trade and sends it to the NSCC, which electronically clears and nets the trading activity for that day. From

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