Series 52: 9.2. Uniform Practice Code

Taken from our Series 52 Top Off Online Guide

9.2. Uniform Practice Code

The Uniform Practice Code provides a set of uniform standards for use by broker-dealers when confirming, clearing, and settling transactions. Its set of rules also codifies industry practices with respect to the delivery and payment of securities, reclamations and rejections, close-out procedures, and dispute resolution.

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