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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
77-25 Conn’s Inc. PDF - 155.68 KB
76-25 Annaly Capital Management Inc. (NNLYV) (When Issued) PDF - 97.11 KB
75-25 Live Oak Bancshares Inc (LOBCL) PDF - 90.15 KB
74-25 Citizens Financial Group Inc (CFGDL) PDF - 90.88 KB
73-25 Live Oak Bancshares Inc (LOBCV) (When Issued) PDF - 98.77 KB
72-25 DSI Windown, Inc. (f/k/a Danimer Scientific, Inc.) PDF - 149.96 KB
71-25 Microstrategy Inc. (MCSTP) PDF - 89.38 KB
70-25 Microstrategy Inc. (MCSTV) (When Issued) PDF - 97.08 KB
69-25 Citizens Financial Group Inc (When Issued) PDF - 98.4 KB
68-25 Molecular Templates, Inc PDF - 160.82 KB
67-25 Sound Point Meridian Cap PDF - 89.71 KB
66-25 Sound Point Meridian Cap Inc. PDF - 106.66 KB
65-25 Edgio, Inc, PDF - 144.05 KB
64-25 Gol Linhas Aeras Inteligentes S.A PDF - 181.06 KB
63-25 Oldco Tire Distributors, Inc. (f/k/a American Tire Distributors, Inc.) PDF - 148.33 KB
62-25 WW International Inc. PDF - 173.36 KB
61-25 ENGlobal Corp PDF - 145.65 KB
60-25 Tupperware Brands Corporation PDF - 145.53 KB
59-25 UMB Financial Corporation (UMBXL) PDF - 90.17 KB
58-25 MicroStrategy Inc (MCSYP) PDF - 89.61 KB
57-25 MicroStrategy Inc (MCSYV) (When Issued)
PDF - 96.55 KB
56-25 UMB Financial Corporation (UMBXV) (When Issued) PDF - 96.19 KB
55-25 QXO, Inc. (QXOBL) PDF - 89.02 KB
54-25 QXO, Inc. (QXOBV) (When Issued)
PDF - 96.06 KB
53-25 Wintrust Financial Corp (WTFPL) PDF - 88.19 KB