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
Feb 13, 2017 07-17 Catalyst Paper Corporation PDF-183.82 KB
Feb 13, 2017 06-17 American Eagle Energy Corporation PDF-162.87 KB
Feb 10, 2017 05-17 4Licensing Corporation PDF-157.53 KB
Jan 20, 2017 04-17 BSD Medical Corporation f/k/a Perseon Corporation PDF-174.23 KB
Jan 6, 2017 03-17 Energy XXI Ltd. PDF-183.6 KB
Jan 6, 2017 02-17 C&J Energy Services, Ltd. PDF-172.04 KB
Jan 4, 2017 01-17 SFX Entertainment, Inc. PDF-158.24 KB
Dec 16, 2016 61-16 Key Energy Services, Inc. PDF-171.17 KB
Dec 13, 2016 60-16 Life Partners Holdings, Inc. PDF-158.45 KB
Dec 2, 2016 59-16 Hercules Offshore Inc. PDF-160.2 KB
Nov 4, 2016 58-16 Pacific Exploration & Production Corp. PDF-222.31 KB
Nov 3, 2016 57-16 Saratoga Resources Inc. PDF-173.22 KB
Nov 1, 2016 56-16 Pacific Exploration & Production Corp. PDF-165.63 KB
Oct 31, 2016 55-16 Doral Financial Corporation PDF-163.22 KB
Oct 24, 2016 54-16 Midstates Petroleum Company, Inc. PDF-200.68 KB
Oct 17, 2016 53-16 Goodrich Petroleum Corporation PDF-172.38 KB
Oct 14, 2016 52-16 DNIB Unwind, Inc. (f/k/a BIND Therapeutics, Inc.) PDF-176.16 KB
Oct 6, 2016 51-16 Warren Resources, Inc. PDF-178.28 KB
Oct 5, 2016 50-16 Horsehead Holding Corp. PDF-157.86 KB
Oct 5, 2016 49-16 Arch Coal, Inc. PDF-158.67 KB
Oct 5, 2016 48-16 Sandridge Energy Inc. PDF-180.02 KB
Oct 4, 2016 47-16 TCEH Corporation Common Stock PDF-162.85 KB
Sep 28, 2016 46-16 TCEH Corporation. PDF-159.98 KB
Sep 28, 2016 45-16 Penn Virginia Corporation PDF-182.05 KB
Sep 27, 2016 44-16 American Standard Energy Corp. PDF-158.97 KB

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