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
05-17 4Licensing Corporation PDF - 157.53 KB
06-17 American Eagle Energy Corporation PDF - 162.87 KB
07-17 Catalyst Paper Corporation PDF - 183.82 KB
08-17 E-TRADE Financial Corporation PDF - 93.92 KB
10-17 Stone Energy Corporation PDF - 186.73 KB
09-17 Linn Energy LLC (LINEQ) & LinnCo LLC (LNCOQ) PDF - 192.39 KB
11-17 CHC Group, Ltd. PDF - 178.57 KB
12-17 Peabody Energy Corp. PDF - 282.21 KB
13-17 Ultrapetrol (Bahamas) Limited. PDF - 48.96 KB
14-17 Emerald Oil, Inc. PDF - 158.95 KB
15-17 Ultra Petroleum Corp. PDF - 182.49 KB
16-17 Forbes Energy Services Ltd. PDF - 179.34 KB
17-17 Republic Airways Holdings Inc. PDF - 158.79 KB
19-17 Erickson, Inc. PDF - 178.23 KB
18-17 Violin Memory Inc. PDF - 174.54 KB
20-17 P10 Industries Inc PDF - 173.65 KB
21-17 Memorial Production Partners LP PDF - 187.84 KB
22-17 Cosi, Inc. PDF - 157.88 KB
23-17 Money Centers of America, Inc. PDF - 162.51 KB
24-17 Newmarkt Corp. PDF - 43.07 KB
25-17 NephroGenex, Inc. PDF - 158.92 KB
26-17 Newmarkt Corp. PDF - 62.8 KB
27-17 Azure Midstream Partners PDF - 57.69 KB
28-17 International Shipholding Corporation PDF - 158.07 KB
29-17 Hancock Fabrics, Inc. PDF - 96.45 KB