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
Jun 30, 2015 15-15 NII Holdings, Inc. PDF-161.42 KB
Jun 23, 2015 14-15 Liberty Global PLC Class B Ordinary Shares (When Issued) PDF-159.87 KB
Jun 11, 2015 13-15 Dendreon Corporation PDF-157.21 KB
Jun 10, 2015 12-15 EveryWare Global, Inc. PDF-162.18 KB
May 29, 2015 11-15 South32 Ltd. American Depository Receipt PDF-92.3 KB
May 20, 2015 10-15 Hipcricket, Inc. (HIPPQ) PDF-157.26 KB
May 15, 2015 09-15 South32 Ltd Sponsored American Depository Receipt (When Issued)(OTC: SOUHV) PDF-158.33 KB
May 1, 2015 08-15 Exide Technologies PDF-158.01 KB
Apr 20, 2015 07-15 ECOtality, Inc. PDF-158.1 KB
Feb 19, 2015 06-15 Eyegate Pharmaceuticals, Inc. Common Stock PDF-58.01 KB
Feb 13, 2015 05-15 Eyegate Pharmaceuticals, Inc. Common Stock (EYEGV) PDF-159.36 KB
Feb 11, 2015 04-15 Skyline Medical, Inc. (SKLNV) PDF-158.74 KB
Feb 10, 2015 03-15 Global Geophysical Services, Inc. (GEGSQ & GEGPQ) PDF-159.6 KB
Feb 5, 2015 02-15 Idaho Bancorp, Inc (IDBCQ) PDF-157.13 KB
Jan 14, 2015 01-15 UniTek Global Services, Inc. (UNTKQ) PDF-157.71 KB
Dec 16, 2014 43-14 First Mariner Bancorp (FMARQ) PDF-157.42 KB
Nov 4, 2014 42-14 Liberty Broadband Corporation Common Stock Series B (When, As and If Issued Settlement Dates) PDF-160.73 KB
Nov 3, 2014 41-14 Liberty Broadband Corporation Common Stock Series B (When Issued) (OTC: LBDBV) PDF-158.81 KB
Oct 21, 2014 40-14 Vertical Health Solutions, Inc. (ONMDQ) PDF-157.08 KB
Oct 17, 2014 39-14 Clearly Erroneous Determination for Quotation and Trading Halt for OTC Equity Securities PDF-262.19 KB
Oct 17, 2014 38-14 Quotation and Trading Halt for all OTC Equity Securities PDF-331.51 KB
Oct 17, 2014 37-14 Quotation and Trading Halt for all OTC Equity Securities PDF-219.73 KB
Oct 2, 2014 36-14 Coldwater Creek, Inc. PDF-156.03 KB
Sep 29, 2014 35-14 Tootie Pie Company (TOOTQ) PDF-158.99 KB
Aug 25, 2014 34-14 OCZ Technology Group Inc. (OCZTQ) PDF-158.1 KB

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