Series 99: 2.2.6.3 Review By The Uniform Practice Code (UPC) Committee

Taken from our Series 99 Top-off Online Guide

2.2.6.3 Review by the Uniform Practice Code (UPC) Committee

A member firm or associated person who appeals FINRA’s determination to declare a transaction null and void must make that appeal in writing to the Uniform Practice Code (UPC) Committee. All appeals must be received by FINRA within 30 minutes after the person making the appeal has been notified of FINRA’s action.

Once a written appeal has been received, FINRA will notify the counterparty to the trade of the appeal. Both parties may submit additi

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