Series 24: Scope Of The Uniform Practice Code

Taken from our Series 24 Online Guide

Scope of the Uniform Practice Code

The Uniform Practice Code (UPC) provides a set of uniform standards for use by NASD/FINRA member firms when clearing and settling transactions on the secondary OTC market. Its set of rules codify industry practices with respect to the delivery and payment of securities, reclamations and rejections, dividend distribution, close-out procedures, and dispute resolution

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