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
05-20 E-TRADE Financial Corporation – 5.875% Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series A & 5.3% Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series B. PDF - 300.19 KB
05-21 Briggs & Stratton Corp. PDF - 161.14 KB
05-22 Seadrill Limited PDF - 151.1 KB
05-23 Town Sports International, Inc. PDF - 126.16 KB
05-24 Akumin Inc. PDF - 180.06 KB
05-25 Williams Industrial Services Group, Inc. PDF - 150.78 KB
05-26 Histogen, Inc. PDF - 184.3 KB
05-97 Amplidyne Inc | Quigley Corporation PDF - 74.87 KB
05-98 Bay View Capital Corporation | VTX Electronics Corp. PDF - 13.82 KB
05-99 Adelphia Communications Corp.|Evergreen International Aviation Inc.|General Medical Corp.|Gorges/Quik to Fix Foods Inc. PDF - 13.34 KB
050-09 Charter Communications, Inc. PDF - 28.07 KB
051-09 Pliant Corporation PDF - 31.03 KB
052-09 Noble International, Ltd PDF - 30.99 KB
053-09 SystemOne Technologies, Inc PDF - 31 KB
054-09 LandAmerica Financial Group, Inc PDF - 31.03 KB
055-09 CIT Group, Inc. PDF - 31.01 KB
056-09 CIT Group, Inc. PDF - 29.93 KB
057-09 CIT Group, Inc. PDF - 30.12 KB
058-09 Silicon Graphics, Inc. PDF - 31.01 KB
059-09 Quaker Fabric Corporation PDF - 31.07 KB
06-00 Stuart Entertainment Inc PDF - 8.93 KB
06-01 Trans World Airlines Inc. PDF - 9 KB
06-02 Anacomp Inc PDF - 9.19 KB
06-03 Scope Operating Inc PDF - 12.45 KB
06-04 Paid Inc. PDF - 13.03 KB