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 99 - 1.2.2.7 Cash and Margin Accounts

Series 65 - 10.8. Broker-Dealers Operating Within a Bank Setting

Series 65 - 1.4.5.1.5 Internal Rate of Return (IRR)

Series 53 - ARS Reporting Requirements

Series 65 - 3.1.2.3. Bond Funds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 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

Thank You. Thank You. Thank You. Having the audio, video lectures (with the printable power-point!) and exam simulator in addition to the book really engages you in the material. It becomes a game! I passed the 66 with an 84%.

Colleen Shelly, PNC Investments, Cleveland, OH

The Solomon practice quizzes and exams provided an excellent simulation for the Series 7 exam. I highly recommend. Passed on the first try!

Justin Wiles, GW & Wade, Palo Alto, CA

Fantastic study materials. The practice test questions were close to the exam questions and I was not surprised when I took my exam. I would recommend Solomon to anyone studying for their 6.

Wendy Clark, MetLife, Charlotte, NC