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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
101-02 EXDS Inc PDF - 21.57 KB
102-02 EXDS Inc | Schwartz Pharma AG PDF - 21.64 KB
100-02 Avtovaz PDF - 13.88 KB
99-02 Anchor Glass Container Corporation PDF - 19.43 KB
97-02 Source Media Inc PDF - 19.66 KB
98-02 Aeon Company Ltd | Banyu Pharmaceutical Ltd | Bridgestone CorporationDai Nippon Prtg Ltd Japan | Kao Corporation | Omron Corporation | Sharp Corporation PDF - 18.87 KB
94-02 Exodus Communications Inc PDF - 21.46 KB
95-02 Exodus Communications Inc | Pillowtex Corporation PDF - 21.48 KB
96-02 Komag Inc PDF - 21.35 KB
03-02 AremisSoft Corporation | Packaging Dynamics Corporation PDF - 17.44 KB
90-02 American Commercial Lines LLC | Composite Holdings Inc PDF - 19.88 KB
91-02 Rhythms Netconnections Inc PDF - 21.55 KB
92-02 Rhythms Netconnections Inc PDF - 21.22 KB
88-02 Adelphia Communications Corp PDF - 19.83 KB
89-02 Fruit of the Loom Inc PDF - 21.24 KB
87-02 Neurotech Development Corporation PDF - 19.98 KB
86-02 Coyne International Enterprises Corp PDF - 21.03 KB
85-02 Metricom Finance Corporation PDF - 20.97 KB
83-02 Fruit of the Loom Inc PDF - 17.04 KB
84-02 Exodus Communications Inc PDF - 21.34 KB
81-02 Trans-Global Interactive Ltd PDF - 19.99 KB
82-02 Gentiva Health Services PDF - 17.8 KB
80-02 Source Media Inc PDF - 19.58 KB
79-02 Crown Resources Corporation | Globo Cabo SA PDF - 18.58 KB
78-02 Cuddy International Corp | Viatel Inc PDF - 17.72 KB