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
70-21 Silvergate Cap Corp PDF - 88.84 KB
69-21 Silvergate Cap Corp PDF - 97.94 KB
68-21 JPMorgan Chase & Co PDF - 89.84 KB
67-21 Capital One Finl Corp PDF - 87.84 KB
66-21 Capital One Finl Corp PDF - 95.81 KB
65-21 Pebblebrook Hotel Trust PDF - 87.84 KB
64-21 Wells Fargo & Company PDF - 92.78 KB
63-21 JPMorgan Chase & Co PDF - 98.04 KB
62-21 Pebblebrook Hotel Trust PDF - 95.74 KB
61-21 Wells Fargo & Company PDF - 95.06 KB
60-21 Stifel Financial Corp. PDF - 88.05 KB
59-21 First Republic Bank San Francisco California PDF - 88.36 KB
58-21 Stifel Financial Corp. PDF - 96.43 KB
57-21 Prospect Cap Corp PDF - 86.82 KB
56-21 First Republic Bank San Francisco California PDF - 96.81 KB
55-21 Prospect Cap Corp PDF - 94.97 KB
54-21 RenaissanceRe Holdings Ltd PDF - 88.11 KB
53-21 RenaissanceRe Holdings Ltd PDF - 95.72 KB
52-21 General Moly, Inc. PDF - 144.4 KB
51-21 The Hertz Corporation PDF - 164.02 KB
50-21 New York Mortgage Trust Inc PDF - 87.34 KB
49-21 Hospitality Investors Trust, Inc. PDF - 142.13 KB
48-21 Hertz Global Holdings, Inc. PDF - 150.35 KB
47-21 Hermitage Offshore Services, Inc. PDF - 144.74 KB
46-21 CTO Realty Growth Inc PDF - 87.1 KB