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. Sort ascending | Title | Format - Size |
---|---|---|---|
01-07 | Time Warner Cable Inc | PDF - 35.82 KB | |
01-06 | Martin Luther King Jr. Day Trade Date - Settlement Date | PDF - 64.08 KB | |
01-05 | RCN Corp New|Re-denomination of Turkish Lira (TUPRY & TUPIF) | PDF - 69.38 KB | |
01-04 | Martin Luther King Jr. Day Trade Date - Settlement Date Schedule | PDF - 14.21 KB | |
01-03 | Trading of Debt Securities With Option Interest Payments | PDF - 12.7 KB | |
01-02 | Loewen Group Inc | PDF - 20.46 KB | |
01-01 | Citizens National Corporation | Laclede Steel Company | PDF - 11.5 KB | |
01-00 | CoorsTek Inc | Graham-Field Health | Products Inc | Gantos Inc | PDF - 9.52 KB | |
20-22 | KeyCorp | PDF - 97.29 KB |
Pagination
- First page
- Previous page
- …
- 81
- 82
- 83
- 84
- 85
- 86
- 87
- 88
- 89