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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 Sort ascending UPC No. Title Format - Size
16-23 Revlon, Inc. PDF - 203.03 KB
15-23 FTAI Aviation Ltd. PDF - 87.83 KB
13-23 Jackson Financial Inc. PDF - 88.12 KB
14-23 FTAI Aviation Ltd. PDF - 95.78 KB
12-23 Jackson Financial Inc. PDF - 95.63 KB
10-23 Clarus Therapeutics Holdings, Inc. PDF - 129.36 KB
11-23 Huntington Bancshares Inc PDF - 88.94 KB
09-23 Huntington Bancshares Inc PDF - 97.79 KB
08-23 Southern Foods Group, LLC (Dean Foods Company) PDF - 143.2 KB
07-23 Weatherford International PLC PDF - 120 KB
05-23 Town Sports International, Inc. PDF - 126.16 KB
06-23 Unit Corporation PDF - 124.78 KB
04-23 Altera Infrastructure L.P. PDF - 168.8 KB
03-23 Redwood Trust, Inc. PDF - 88.05 KB
02-23 Redwood Trust, Inc. PDF - 94.65 KB
01-23 Legacy EJY, Inc. (f/k/a Enjoy Technology, Inc.) PDF - 130.02 KB
40-22 Grupo Aeroméxico S.A.B de C.V. PDF - 173.7 KB
39-22 GTT Communications, Inc. PDF - 201.33 KB
38-22 TPC Group, Inc. PDF - 209.33 KB
37-22 Just Energy Group Inc. PDF - 126.19 KB
36-22 Zosano Pharma Corporation PDF - 143.06 KB
35-22 Meta Materials, Inc. PDF - 108.69 KB
34-22 Athene Holding Ltd. PDF - 87.85 KB
33-22 Athene Holding Ltd. PDF - 96.53 KB
32-22 Lincoln National Corp. PDF - 87.58 KB