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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
46-21 CTO Realty Growth Inc PDF - 87.1 KB
45-21 Cadiz Inc PDF - 87.43 KB
44-21 Mortgage Trust Inc PDF - 96.42 KB
43-21 Cadiz Inc PDF - 96.28 KB
42-21 CTO Realty Growth Inc PDF - 96.42 KB
41-21 CMS Energy Corp PDF - 88.78 KB
40-21 Chatham Lodging Trust PDF - 88.27 KB
39-21 Sachem Capital Corp PDF - 88.09 KB
38-21 CMS Energy Corp PDF - 104.41 KB
37-21 Chatham Lodging Trust Series A Cumulative Redeemable Preferred Shares PDF - 103.41 KB
36-21 Sachem Capital Corp. PDF - 103 KB
35-21 Gladstone Commercial Corporation PDF - 95.04 KB
34-21 Gladstone Commercial Corporation Preferred Stock Series G PDF - 103.04 KB
33-21 Algonquin Power & Utilities Corp Corporate Units PDF - 94.39 KB
32-21 Algonquin Power & Utilities Corp PDF - 102.55 KB
31-21 Yogaworks Inc PDF - 148.43 KB
30-21 SHL Liquidation Industries Inc PDF - 149.68 KB
29-21 Seadrill Partners LLC PDF - 149.82 KB
28-21 Gulfport Energy Corporation PDF - 175.18 KB
27-21 Aberdeen Income Credit Strategies Fund PDF - 93.14 KB
26-21 Aberdeen Income Credit Strategies Fund (ACPPP) PDF - 93.11 KB
25-21 Garrett Motion Inc PDF - 165.99 KB
24-21 Diamond Offshore Drilling, Inc PDF - 164.73 KB
23-21 Emergent Capital, Inc PDF - 162.22 KB
22-21 Aberdeen Income Credit Strategies Fund Series A Preferred Shares (When Issued) PDF - 101.76 KB