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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
43-01 Electronic Business Services Inc. PDF - 11.09 KB
41-01 ContiFinancial Corporation | Fine Air Services Corp. PDF - 11.32 KB
42-01 Adaptec Inc. | Gorges/Quick to Fix Foods Inc. | Resort at SummerlinRoxio Inc. PDF - 9.41 KB
40-01 Medinah Minerals Inc. | Vencor Inc. PDF - 13.43 KB
39-01 Southern California Edison Co. | WinStar Communications Inc. PDF - 9.53 KB
37-01 National Health & Safety Corporation PDF - 7.6 KB
38-01 Friede Goldman Halter Inc. PDF - 8.9 KB
36-01 Amazon Natural Treasures.com Inc. PDF - 7.87 KB
35-01 Methode Electronics Inc. | Power Designs Inc. | Stratos Lightwave Inc. PDF - 11.4 KB
34-01 CrossKeys Systems Corporation PDF - 7.8 KB
33-01 JCC Holding Company PDF - 11 KB
31-01 Costilla Energy Inc. PDF - 11.08 KB
32-01 LecStar Corporation PDF - 8 KB
29-01 Cerplex Group Inc. | Costilla Energy Inc. PDF - 11.33 KB
30-01 PNV Inc. PDF - 9.24 KB
28-01 Southern California Edison Co. PDF - 10.91 KB
27-01 e.Spire Communications Inc. PDF - 8.99 KB
26-01 CPS Systems Inc. | Power Designs Inc. PDF - 11.29 KB
25-01 Crown Packaging Ltd. | Stolt - Neilsen S.A. PDF - 10.99 KB
24-01 Stolt - Nielsen S.A. | Stolt Offshore S.A. PDF - 11.2 KB
23-01 Harnischfeger Industries Inc. | Tokheim Corporation PDF - 9.43 KB
21-01 Master Graphics Inc. | Pacholder High Yield Fund Inc. PDF - 11.32 KB
22-01 Arcadis N.V. | KPNQuest N.V. PDF - 7.72 KB
20-01 Petsec Energy Inc. PDF - 10.8 KB
19-01 Infocure Corporation PDF - 7.45 KB