11000. UNIFORM PRACTICE CODE
- 11100. SCOPE OF UNIFORM PRACTICE CODE
- 11110. Committees
- 11111. Refusal to Abide by Rulings of the Committee
- 11112. Review by Panels of the UPC Committee
- 11120. Definitions
- 11121. Trade Date
- 11130. When, As and If Issued/Distributed Contracts
- 11140. Transactions in Securities "Ex-Dividend," "Ex-Rights" or "Ex-Warrants"
- 11150. Transactions "Ex-Interest" in Bonds Which Are Dealt in "Flat"
- 11160. "Ex" Liquidating Payments
- 11170. Transactions in "Part-Redeemed" Bonds
- 11190. Reconfirmation and Pricing Service Participants
- 11200. COMPARISONS OR CONFIRMATIONS AND "DON'T KNOW NOTICES"
- 11300. DELIVERY OF SECURITIES
- 11310. Book-Entry Settlement
- 11320. Dates of Delivery
- 11330. Payment
- 11340. Stamp Taxes
- 11350. Part Delivery
- 11360. Units of Delivery
- 11361. Units of Delivery — Stocks
- 11362. Units of Delivery — Bonds
- 11363. Units of Delivery — Unit Investment Trust Securities
- 11364. Units of Delivery — Certificates of Deposit for Bonds
- 11365. Trading Securities As "Units" or Bonds "With Stock"
- 11400. DELIVERY OF SECURITIES WITH DRAFT ATTACHED
- 11500. DELIVERY OF SECURITIES WITH RESTRICTIONS
- 11510. Delivery of Temporary Certificates
- 11520. Delivery of Mutilated Securities
- 11530. Delivery of Securities Called for Redemption or Which Are Deemed Worthless
- 11540. Delivery Under Government Regulations
- 11550. Assignments and Powers of Substitution; Delivery of Registered Securities
- 11560. Certificate of Company Whose Transfer Books Are Closed
- 11570. Certificates in Various Names
- 11571. Certificate in Name of Corporation
- 11572. Certificate in Name of Firm
- 11573. Certificate in Name of Dissolved Firm Succeeded by New Firm
- 11574. Certificate in Name of Deceased Person, Trustee, etc.
- 11580. Transfer of Limited Partnership Securities
- 11581. Limited Partnership Transfer Forms
- 11600. DELIVERY OF BONDS AND OTHER EVIDENCES OF INDEBTEDNESS
- 11700. RECLAMATIONS AND REJECTIONS
- 11800. CLOSE-OUT PROCEDURES
- 11810. Buy-In Procedures and Requirements
- 11820. Selling-Out
- 11830. Reserved.
- 11840. Rights and Warrants
- 11860. COD Orders
- 11870. Customer Account Transfer Contracts
- 11880. Settlement of Syndicate Accounts
- 11890. Clearly Erroneous Transactions
- 11891. General
- 11892. Clearly Erroneous Transactions in Exchange-Listed Securities
- 11893. Clearly Erroneous Transactions in OTC Equity Securities
- 11894. Review by the Uniform Practice Code (“UPC”) Committee
- 11900. CLEARANCE OF CORPORATE DEBT SECURITIES
- Regulatory Notice 10-49October 15, 2010