Series 24: 5.11.1. Scope Of The Uniform Practice Code

Taken from our Series 24 Online Guide

5.11.1. 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, close-out procedur

+ Read More

More Series 24 Info

What are people saying?

Create an Account

Since you're reading about Series 24: 5.11.1. Scope Of The Uniform Practice Code, you might also be interested in:

Series 82 - 1.1.2. Private Securities Offerings

Series 66 - Testimonials for Investment Advisers and Representatives

Series 66 - Marginable Securities

Series 50 - Competitive Bid Authorization

Series 24 - Preferred Stock

Series 52 - 7.4.3.1. Federal Open Market Committee

Series 14 - 4.3.2.4. Margin Account Deposits

Series 66 - 1.1.5.3 The Quick Ratio

Series 24 - Customer Accounts

Series 24 - National Best Bid and Offer (NBBO)

Series 63 - 5.7.6.3. Common Types of Social Media Fraud

Series 28 - Fingerprint Records

Series 27 - Short Selling Rules

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thank you Solomon! I was able to pass the SIE, 7, 63 and 24 in a relatively short time period. The practice exams with answers really helped and when I had a question for The Professor, I always received a quick and accurate response. Solomon is definitely the way to go.

Seth Schader, CCO, Mercer Island, WA

I passed my Series 24 with two weeks of nearly full-time study, using the textbook, the online class, and the exam simulator. The textbook was very readable and helpful in providing complete explanations, as well as helpful memorization tips. The online class and pre-recorded sessions were crucial to get through all of the material and put it in relative context. It was helpful to be able to have questions answered instantly and via email afterward. The online simulator questions were just like the exam questions, and the immediate feedback function was essential for learning from the practice quizzes and exam. I needed every minute of my study and practice time to count, and Solomon Exam Prep made it possible. Thank you!

T. Richmond, Bethesda, MD

Passed the 24 today ... fun test.. You have a great product. The material was easy to follow and the practice tests were very, very helpful. Thank you.

Danny Klingler, Kestra Financial, Austin, Texas

I studied for the Series 24 for two and a half months. I thank God for his grace passed on the first attempt. The exam simulator is superb, it's projection of readiness to sit for an exam is spot on. All the feedback I received on how difficult the test was proved to be very helpful. As a result I over studied and followed the recommended study plan step by step which was key. Thanks again Jeremy and team, Solomon exam prep is the best ;)

Nikita Brown, BMI. Atlanta, GA

I just took the Series 24 and passed with an 80%. I couldn't have done it without the Solomon test simulator.

Joseph Shapiro, Edward Jones Investments, St. Louis, MO

I used Solomon to study for the 26 and most recently the 24. The material is layered in way that makes it manageable to digest and the instructor response time and explanations are outstanding. I passed both on the first attempt!

Gus Velleco, Allstate, Charleston, SC