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
20-15 Baxano Surgical, Inc. PDF - 158.04 KB
28-17 International Shipholding Corporation PDF - 158.07 KB
34-14 OCZ Technology Group Inc. (OCZTQ) PDF - 158.1 KB
07-15 ECOtality, Inc. PDF - 158.1 KB
06-14 Capitol Bancorp, Ltd. PDF - 158.12 KB
46-13 Mid State Raceway Inc. PDF - 158.17 KB
29-15 HEI, Inc. PDF - 158.19 KB
38-12 Barzel Industries, Inc PDF - 158.19 KB
57-13 FriendFinder Networks, Inc. PDF - 158.2 KB
30-14 Florida Gaming Corporation PDF - 158.2 KB
01-17 SFX Entertainment, Inc. PDF - 158.24 KB
26-15 Corinthian Colleges, Inc. PDF - 158.29 KB
01-16 Wet Seal, Inc. PDF - 158.3 KB
22-14 Gulfstream International Group, Inc. PDF - 158.3 KB
41-13 AmericanWest Bancorporation PDF - 158.31 KB
09-15 South32 Ltd Sponsored American Depository Receipt (When Issued)(OTC: SOUHV) PDF - 158.33 KB
02-14 Xtreme Green Products, Inc. PDF - 158.35 KB
45-13 Jesup & Lamont, Inc. PDF - 158.37 KB
25-16 Verso Corporation PDF - 158.43 KB
04-14 CrossPoint Energy Company PDF - 158.44 KB
60-16 Life Partners Holdings, Inc. PDF - 158.45 KB
39-17 Grandparents.com, Inc. PDF - 158.51 KB
39-16 Quicksilver Resources Inc PDF - 158.61 KB
27-15 ISC8, Inc. PDF - 158.63 KB
49-16 Arch Coal, Inc. PDF - 158.67 KB