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
045-09 Lear Corporation PDF - 29.52 KB
046-09 ProxyMed, Inc. PDF - 33.41 KB
047-09 U.S. Shipping Partners L.P. Common Units PDF - 33.34 KB
048-09 Lear Corporation Partn Pfd Convertible Series A PDF - 29.36 KB
049-09 Charter Communications, Inc. PDF - 31.03 KB
05-00 Fidelity Holdings Inc PDF - 9.45 KB
05-01 PLM Equipment Growth Fund III Limited Partnership Units PDF - 7.53 KB
05-02 Southern Telecommunications Company PDF - 9.33 KB
05-03 NTL Inc PDF - 13.19 KB
05-04 INSCI Corp. PDF - 11.97 KB
05-05 AO Siberian Oil Company PDF - 68.83 KB
05-06 FreshChoice Inc PDF - 86.3 KB
05-07 Time Warner Cable, Inc PDF - 46.7 KB
05-08 Solutia Inc. PDF - 30.75 KB
05-09 Secured Diversified Investment, Ltd. PDF - 96.44 KB
05-10 Crusader Energy Group Inc. PDF - 28.07 KB
05-11 Riviera Holdings Corporation PDF - 72.58 KB
05-12 Ultimate Escapes Holdings, LLC PDF - 136.96 KB
05-13 Tumbleweed, Inc. PDF - 158.94 KB
05-14 ContraVir Pharmaceuticals, Inc PDF - 62.17 KB
05-15 Eyegate Pharmaceuticals, Inc. Common Stock (EYEGV) PDF - 159.36 KB
05-16 University General Health System, Inc. PDF - 61.64 KB
05-17 4Licensing Corporation PDF - 157.53 KB
05-18 Dakota Plains Holdings, Inc PDF - 178.41 KB
05-19 Hooper Holmes Inc PDF - 394.18 KB