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
52-01 Harmony Gold Mining Company Ltd. PDF - 7.51 KB
52-02 VIZRT Ltd PDF - 17.76 KB
52-03 Rhythms NetConnections Inc PDF - 15.76 KB
52-04 Liberty Mint Ltd. PDF - 28.36 KB
52-05 eB2B Commerce Inc|US Wireless Data Inc PDF - 79.52 KB
52-06 Claremont Technologies Corp PDF - 33.73 KB
52-10 Visteon Corporation PDF - 34.78 KB
52-11 Transmeridian Exploration, Inc. PDF - 136.78 KB
52-13 AMR Corporation PDF - 319.46 KB
52-16 DNIB Unwind, Inc. (f/k/a BIND Therapeutics, Inc.) PDF - 176.16 KB
52-17 Midway Gold Corporation PDF - 179.85 KB
52-20 Guitar Center, Inc. PDF - 161.7 KB
52-21 General Moly, Inc. PDF - 144.4 KB
52-23 Quanergy Systems, Inc. PDF - 143.67 KB
52-24 Valley National Bancorp (VLYNP) PDF - 90.76 KB
52-25 Medallion Bank Salt Lake City Utah (MBNKG) PDF - 86.6 KB
52-97 Sassco Fashions Ltd PDF - 36.69 KB
52-99 Discovery Zone Inc. PDF - 6.38 KB
53-00 Netia Holdings SA New | Radio One Inc PDF - 7.52 KB
53-01 Peugeot SA | Trend Micro Inc. PDF - 8.15 KB
53-02 Acme Metals Inc PDF - 20.96 KB
53-03 IMPSAT Fiber Networks Inc PDF - 15.57 KB
53-04 Steakhouse Partners Inc. PDF - 21.29 KB
53-05 Gluv Corporation PDF - 63.41 KB
53-06 AirNet Communications Corp PDF - 29.91 KB