Series 26: Settlement And Delivery Instructions

Taken from our Series 26 Online Guide

Settlement and Delivery Instructions

The clearing and settlement process involves two steps: trade comparison and delivery. For securities traded on Nasdaq, trade comparison is made by each party’s clearing firm. Nasdaq’s Automated Confirmation Transaction Service (ACT) “locks in” the trade and sends it to the National Securities Cleraing Corporation (NSCC), which electronically clears and nets the trading activity for that day. From there, the Depository Trust and Clearing Corporation (DTCC) is assigned to settle the trade by transferring ownership of the net

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