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Frauds and Scams > UPC (Uniform Practice Code)

The following information is about UPC (Uniform Practice Code).

UPC (Uniform Practice Code) Defined

Rules and procedures established by the National Association of Securities Dealers (NASD) to regulate operational details of executing, clearing, and settling over the counter transactions in non-exempt securities. Also, within the 13 districts of the NASD, the Uniform Practice Committees settle disputes at the local level and interpret the Uniform Practice Code.

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