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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
50-00 Noxso Corporation PDF - 11.44 KB
51-00 Planet Hollywood International Inc PDF - 9.47 KB
49-00 GST Telecommunications Inc PDF - 8.95 KB
48-00 Parthus Technologies PDF - 7.48 KB
46-00 Elan Corporation plc PDF - 7.48 KB
47-00 Coho Energy Inc| ContiFinancial Corp PDF - 11.47 KB
45-00 Planet Hollywood International Inc | Submicron Systems Corp PDF - 9.54 KB
43-00 Autonomy Corporation plc | Boston Chicken Inc | Coho Energy Inc | Planet Hollywood International Inc PDF - 10 KB
44-00 JumboSports Inc PDF - 8.88 KB
42-00 Family Golf Centers Inc PDF - 9.01 KB
41-00 Axiohm Transaction Solutions Inc | C-Cube Microsystems Inc | Physician Resource Group PDF - 9.53 KB
40-00 Sabratek Corporation PDF - 9.01 KB
39-00 American Pad & Paper Co | AutoLend Group Inc | Harnischfeger Industries Inc PDF - 9.49 KB
38-00 Athanor Group Inc | PLM Equipment Growth Fund III PDF - 9.71 KB
37-00 DecisionOne Corporation | Value-Added Communications Inc PDF - 11.66 KB
36-00 Clark Material Handling Co | Tultex Corp PDF - 9.07 KB
35-00 CHS Electronics Inc PDF - 8.86 KB
34-00 Associated First Capital Corporation | Loewen Group Inc | Loewen Group International Inc PDF - 9.36 KB
33-00 Bookham Technology plc PDF - 7.47 KB
32-00 Southern Pacific Funding Corp | United States Banknote Corp PDF - 9.16 KB
31-00 Neuromedical Systems Inc PDF - 11.25 KB
29-00 DecisionOne Corporation | Mariner Post-Acute Network Inc PDF - 12.5 KB
30-00 Forcenergy Inc | Marked Corporation PDF - 13.13 KB
28-00 Coho Energy Inc | Genesis Health Ventures Inc PDF - 9.32 KB
27-00 Prime Succession Inc PDF - 8.85 KB