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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
06-23 Unit Corporation PDF - 124.78 KB
05-23 Town Sports International, Inc. PDF - 126.16 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
31-22 Lincoln National Corp. PDF - 96.55 KB
30-22 Pareteum Corporation PDF - 142.47 KB
29-22 FINRA Ex-Date Announcements PDF - 128.65 KB
28-22 ION Geophysical Corporation PDF - 148.22 KB
27-22 Basic Energy Services, Inc. PDF - 153.5 KB
26-22 AGNC Investment Corp. PDF - 88.46 KB
25-22 AGNC Investment Corp. PDF - 96.59 KB
24-22 Midland States Bancorp Inc PDF - 86.36 KB
23-22 KeyCorp PDF - 88.14 KB
22-22 Midland States Bancorp Inc PDF - 96.57 KB