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
95-21 Agree Realty Corp. PDF - 91.34 KB
94-21 New Residential Invt Corp PDF - 88.99 KB
93-21 New Residential Invt Corp PDF - 98.15 KB
92-21 Vornado Realty Trust PDF - 95.96 KB
91-21 Agree Realty Corp PDF - 95.32 KB
90-21 Fieldwood Energy LLC PDF - 146.84 KB
89-21 Pennymac Mtg Invt Tr PDF - 92.61 KB
88-21 Textainer Group Holdings Limited PDF - 93.46 KB
87-21 ConnectOne Bancorp Inc. PDF - 88.02 KB
86-21 Pennymac Mtg Invt Tr Pfd Shs Ben Int Ser C PDF - 100.6 KB
85-21 Textainer Group Holdings PDF - 97.43 KB
83-21 ConnectOne Bancorp Inc. PDF - 97.66 KB
84-21 Triton International Limited PDF - 87.51 KB
82-21 Public Storage PDF - 88.99 KB
81-21 Oxford Lane Capital Corp PDF - 89.37 KB
80-21 Triton International PDF - 94.96 KB
79-21 Public Storage Depositary Shares PDF - 96.95 KB
78-21 Telephone & Data Sys Inc Dep Shs Repstg 1/1000th Perp Pfd Ser VV PDF - 88.61 KB
77-21 Oxford Lane Capital Corp PDF - 98.32 KB
76-21 Summit Hotel Properties Inc. PDF - 87.46 KB
75-21 Telephone & Data Sys Inc Dep Shs Repstg 1/1000th Perp Pfd Ser VV PDF - 97.58 KB
74-21 Arbor Rlty Tr Inc PDF - 87.42 KB
73-21 Summit Hotel Properties Inc. PDF - 97.54 KB
72-21 FHC Holdings Corp PDF - 153.03 KB
71-21 Arbor Rlty Tr Inc PDF - 96.81 KB