UPC Advisory

Uniform Practice Code Advisories are notices that pertain to unusual circumstances such as extremely large dividends, when-issued settlement dates, ex-interest dates for bonds, worthless securities, cancelled IPOs, etc. Their intent is to announce rulings, interpretations, exemptions and advisories on these subjects; to facilitate the transaction of a member's day-to-day business; and to eliminate business disputes and misunderstandings that may arise from uncertainty and lack of uniformity in such matters, The subjects addressed in the Uniform Practice Code Advisories are subject to the provisions of the FINRA Uniform Practice Code (Rule 11000 Series), which is administered by FINRA Operations.
Date UPC No. Title Format - Size
Oct 4, 2018 30-18 Nordea Bank ABp PDF-163.03 KB
Sep 28, 2018 29-18 Nordea Bank ABP American Depository Shares (When Issued) PDF-163.73 KB
Sep 17, 2018 28-18 Quadrant 4 Systems Corp PDF-58.01 KB
Sep 4, 2018 27-18 Sysorex, Inc PDF-161.5 KB
Aug 22, 2018 26-18 E-TRADE Financial Corporation – 5.875% Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series A and 5.300% Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series B PDF-161.43 KB
Aug 9, 2018 25-18 Oakridge Holdings, Inc. PDF-201.45 KB
Jul 5, 2018 24-18 Patriot National, Inc. PDF-59.44 KB
Jul 3, 2018 23-18 The Walking Company Holdings, Inc. PDF-180.72 KB
Jun 5, 2018 22-18 Southeastern Grocers, LLC. PDF-183.68 KB
Jun 5, 2018 21-18 Enumeral Biomedical Holdings, Inc. PDF-172.77 KB
Apr 25, 2018 20-18 Cobalt International Energy, Inc. PDF-98.82 KB
Apr 18, 2018 19-18 MorphoSys AG Sponsored ADR PDF-160.29 KB
Apr 18, 2018 18-18 ARO Liquidation, Inc. PDF-174.46 KB
Apr 18, 2018 17-18 Rentech Inc PDF-175.38 KB
Apr 6, 2018 16-18 Breitburn Energy Partners LP PDF-257.17 KB
Apr 5, 2018 15-18 Bitcoin Investment Trust PDF-242.18 KB
Mar 22, 2018 14-18 ICPW Liquidation Corporation PDF-180.88 KB
Mar 2, 2018 13-18 Rand Logistics, Inc PDF-173.4 KB
Feb 26, 2018 12-18 WestMountain Gold, Inc PDF-61.84 KB
Feb 20, 2018 11-18 E-TRADE Financial Corporation – 5.875% Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series A. PDF-167.47 KB
Feb 9, 2018 10-18 Walter Investment Management Corp. PDF-188.21 KB
Feb 9, 2018 09-18 Global Brokerage, Inc. PDF-178 KB
Feb 1, 2018 08-18 TerraVia Holdings, Inc PDF-173.74 KB
Jan 26, 2018 07-18 County First Bank (MD) PDF-61.88 KB
Jan 26, 2018 06-18 J.G. Wentworth Company PDF-188.83 KB

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