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 |
---|---|---|---|
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 | |
21-22 | VJGJ, Inc. (f/k/a Teligent, Inc.) | PDF - 143.47 KB | |
20-22 | KeyCorp | PDF - 97.29 KB | |
19-22 | Morgan Stanley | PDF - 87.96 KB | |
18-22 | Morgan Stanley | PDF - 96.3 KB | |
17-22 | Corp Group Banking S.A. | PDF - 170.98 KB | |
16-22 | Cypress Environmental Partners, L.P. | PDF - 105.06 KB | |
15-22 | Mallinckrodt PLC | PDF - 185.23 KB |