Series 24: 5.8.1. Scope Of The Uniform Practice Code

Taken from our Series 24 Online Guide

5.8.1. Scope of the Uniform Practice Code

The Uniform Practice Code (UPC), created by NASD (now FINRA) in 1941 to govern the OTC market, provides a set of uniform standards for use by FINRA member firms when clearing and settling transactions on the secondary OTC market. Its set of rules codifies industry practices with respect to the delivery and payment of securities, reclamations and rejections, dividend distribution,

+ Read More

More Series 24 Info

What are people saying?

Create an Account

Since you're reading about Series 24: 5.8.1. Scope Of The Uniform Practice Code, you might also be interested in:

Series 52 - 8.4.1.1.2. Customer Protection Rule (Rule 15c3-3)

Series 65 - 2.4.1. Warrants

Series 24 - Free-Writing Prospectus (FWP)

Series 24 - Form U5 and Termination of Service

Series 24 - Business Trusts

Series 65 - C.4 Testimonials and Endorsements

SIE - Protective Provisions

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I originally started studying for the series 24 with Test Teachers... After being frustrated with confusing material, out of date information, contradicting questions/answer/study guides, I bought Solomon's practice exams... After one test, two things became clear: I was grossly unprepared for the exam The material, though difficult, didn't have to be taught in such a confusing manner.I passed the 24 on the fist time because of the quality of the practice exams from Solomon. Thank you! Putting it another way...If you are using anyone else to study, you owe it to yourself and your efforts to buy the practice exams from Solomon to get a true judge of your studying efforts.

Will, Bainbridge Island, WA

I would just like to say that Solomon’s customer service was excellent. The material was clear and easy to understand and I feel that it prepared me extremely well for my exam. I found the study outline to be the most helpful in keeping me on track. I would definitely refer the material to anyone taking the Series 24. Thank you to the Solomon team for helping me pass my 24!

Tamaqua Roland, Philadelphia, PA

I really liked the Solomon study materials. They did a really nice job of explaining the material in plain language. I have a really long commute and the audio books came in really handy!! I would recommend the Solomon study materials!

Jessie Urban, Securities America Inc, LaVista, NE

I passed the S24 today with a score of 80. Your study guide is great!!!

A.T.

I just passed the series 24! It is, by far, the hardest test that I have ever taken. I had failed it 4 times using other study materials. I have never felt more defeated! Solomon Exam Prep is the best! I took over 154 practice tests...without seeing the same question twice. I was able to finally grasp the material and passed! My only regret is that I did not use the Solomon Exam Prep on my first attempt!

Bill Harpe, Capital Choice. Greensboro, GA

Just passed the Series 24 on my first attempt. Not an easy exam so put the time in. I used the Video Lectures and the Exam Simulator from Solomon. Great resources of information!

Shawn McClain, Natixis, Charlotte NC