Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

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
15-21 Chesapeake Energy Corporation PDF - 195.24 KB
14-21 Tuesday Morning Corporation PDF - 156.28 KB
13-21 Extraction Oil & Gas, Inc. PDF - 168.52 KB
12-21 TriVascular Sales LLC (n/k/a Endologix, Inc) PDF - 154.49 KB
11-21 Superior Energy Services Inc. PDF - 154.96 KB
10-21 First NBC Bank Holding CO. PDF - 155.12 KB
09-21 SAExploration Holdings, Inc, Inc PDF - 150.44 KB
08-21 CEC Entertainment, Inc PDF - 149.19 KB
07-21 Exide Holdings, Inc. PDF - 150.4 KB
06-21 Signal Advance, Inc. PDF - 72.19 KB
05-21 Briggs & Stratton Corp. PDF - 161.14 KB
04-21 AAC Holdings, Inc. PDF - 151.75 KB
03-21 RTW Retailwinds, Inc. PDF - 154.47 KB
02-21 Approach Resources Inc. PDF - 155.23 KB
01-21 Covia Holdings Corporation PDF - 151.57 KB
52-20 Guitar Center, Inc. PDF - 161.7 KB
51-20 Vivus, Inc. PDF - 149.7 KB
50-20 Tailored Brands, Inc PDF - 156.63 KB
49-20 Luminar Media Group, Inc. (OTC: LRGR) and Luminar Technologies, Inc. PDF - 126.77 KB
48-20 Lonestar Resources US, Inc. PDF - 196.29 KB
47-20 FTS International, Inc. PDF - 206.71 KB
46-20 Oasis Petroleum, Inc.
PDF - 219.97 KB
45-20 Libbey Inc PDF - 166.06 KB
44-20 Hi-Crush Inc. PDF - 174.68 KB
43-20 Pier 1 Imports, Inc. PDF - 162.39 KB