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
Aug 15, 2016 35-16 Sebring Software, Inc. PDF-160.04 KB
Aug 12, 2016 34-16 Sabine Oil & Gas Corporation PDF-160.26 KB
Aug 8, 2016 33-16 Jetcom Inc. PDF-40.13 KB
Aug 8, 2016 32-16 Blue Earth, Inc. PDF-159.55 KB
Aug 5, 2016 31-16 Jetcom Inc. PDF-40.53 KB
Aug 2, 2016 30-16 Dell Technologies Inc. Class V Common Stock (When Issued) PDF-159.64 KB
Aug 2, 2016 29-16 Seventy Seven Energy Inc. PDF-262.03 KB
Jul 27, 2016 28-16 Alpha Natural Resources, Inc. PDF-158.72 KB
Jul 22, 2016 27-16 Commercehub, Inc PDF-161.37 KB
Jul 21, 2016 26-16 Commercehub, Inc. PDF-155.78 KB
Jul 15, 2016 25-16 Verso Corporation PDF-158.43 KB
Jul 14, 2016 24-16 Bluerock Residential Growth REIT Inc. PDF-162.09 KB
Jul 13, 2016 23-16 SG Blocks, Inc. PDF-160.76 KB
Jul 13, 2016 22-16 Bluerock Residential Growth REIT Inc. Series C Preferred Stock (When Issued) PDF-67.74 KB
Jul 11, 2016 21-16 Fairway Group Holdings Corp. PDF-159.7 KB
Jun 10, 2016 20-16 Axion International Holdings, Inc. PDF-157.74 KB
Jun 1, 2016 19-16 HII Technologies, Inc. PDF-160.79 KB
Jun 1, 2016 18-16 RCS Capital Corporation PDF-156.28 KB
May 26, 2016 17-16 Nuo Therapeutics, Inc PDF-160.5 KB
May 10, 2016 16-16 American Natural Energy Corporation PDF-156.33 KB
May 10, 2016 15-16 Magnum Hunter Resources Corporation PDF-161.11 KB
Apr 26, 2016 14-16 Swift Energy Company PDF-289.63 KB
Apr 4, 2016 13-16 Miller Energy Resources, Inc. PDF-159.56 KB
Apr 4, 2016 12-16 Boomerang Systems, Inc. PDF-159.04 KB
Mar 28, 2016 11-16 James River Coal Company PDF-163.54 KB

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