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
12-24 Near Intelligence, Inc. PDF - 148.92 KB
11-24 Proterra, Inc. PDF - 145.3 KB
10-24 Molekule Group, Inc PDF - 150.14 KB
09-24 PARTS iD, Inc. PDF - 149.11 KB
08-24 IronNet, Inc. PDF - 149.31 KB
07-24 Synchrony Financial PDF - 91.25 KB
06-24 Synchrony Financial PDF - 96.83 KB
05-24 Akumin Inc. PDF - 180.06 KB
04-24 Digicel International Finance Limited PDF - 216.74 KB
03-24 Core Scientific, Inc. PDF - 104.02 KB
02-24 Cyxtera Technologies, Inc. PDF - 154.05 KB
01-24 Inversiones Latin America Power SPA PDF - 147.81 KB
60-23 Air Methods Corporation PDF - 151.51 KB
59-23 Western Global Airlines LLC
 		PDF - 159.69 KB
58-23 Allena Pharmaceuticals Inc. PDF - 146.57 KB
57-23 Sunlight Financial Holdings Inc. PDF - 150.24 KB
56-23 Orbital Infrastructure Group Inc. PDF - 149.29 KB
55-23 Capstone Green Energy Corp PDF - 146.27 KB
54-23 AppHarvest, Inc. PDF - 155.45 KB
53-23 Samarco Mineracao S A PDF - 152.61 KB
52-23 Quanergy Systems, Inc. PDF - 143.67 KB
51-23 SCE Trust VII PDF - 88.2 KB
50-23 SCE Trust VII PDF - 96.22 KB
49-23 Mallinckrodt Plc PDF - 214.57 KB
48-23 FedNat Holding Company PDF - 148.64 KB