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

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Settlement And Cancellation, you might also be interested in:

Series 24 - Fair Dealing with Customers

Series 82 - 1.1.1.1. Types of Public Securities Offerings

Series 14 - 7.3.2.2. Investment Adviser Representatives

Series 27 - Physical Possession or Control

Series 28 - Segregation of Funds

Series 24 - 4.6.9. Retaliation Against Research Analysts Prohibited

Series 24 - 5.5.2.2.1.3. Stop Orders

Series 65 - REIT Suitability

Series 63 - Chapter 6 Practice Question Answers

Series 65 - 5.1.2.5 S Corporations

Series 53 - Refunding Bonds

Series 6 - 8.3.3. COD/DVP Instructions

Series 7 - 7.3 Hedge Funds

Series 53 - Introduction

Series 66 - Net Capital Requirements for Agents

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took this Series 28 today and passed on my first try! I think the practice exams helped a ton, though in general, I would say the actual test seemed (at least to me), more difficult than the practice exams. Either way, couldn't have done it without the Solomon Exam Prep.

Gayle Espinosa. Los Angeles, CA

I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

Nikita Brown, BMI. Atlanta, GA

Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

I loved using Solomon Exam Prep. I used Solomon for 1 month and passed my Series 65 exam. I had previously used Kaplan and failed the same exam. I feel as if Solomon provided significantly better Exam prep and technology in a more concise manner than any other system I have used. Thank you for such a great service.

Mackenzie Abbate Knights of Columbus Slidell, Louisiana

Passed the Series 66 today! This program really helped me succeed. The pie charts helped me focus on where I needed to put in more work.

Stephen Rice, Edward jones. Prairie Village, KS

Super fast response time to emailed questions, clear explanations in the textbook and in the ungraded practice exams, and unlimited practice tests made Solomon a great resource for preparing for my SIE. Passed on first try!

Claire Pywell, R+R Financial Partners. Anchorage, AK

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

Series 28: Settlement And Cancellation

Taken from our Series 28 Online Guide

Settlement and Cancellation

Since you're reading about Series 28: Settlement And Cancellation, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →