Series 28: Settlement And Cancellation

Taken from our Series 28 Online Guide

Settlement and Cancellation

FINRA’s Uniform Practice Code Committee has authority to fix a settlement date and decide whether a contract should be honored or cancelled. The settlement date will be determined by the UPC Committee when a sufficient percentage of the issue is outstanding. The contract will be cancelled if any of the following occur:

• The UPC Committee deems it necessary to resolve any conflict regarding the c

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