Series 99: 2.2.6 Clearly Erroneous Transactions

Taken from our Series 99 Top-off Online Guide

2.2.6 Clearly Erroneous Transactions

A clearly erroneous transaction is a transaction where there has been an obvious error in any term, including price, number of shares, unit of trading, or identification of security. Both NASDAQ and FINRA have mechanisms in place to review trades and m

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