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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
23-20 CARBO Ceramics, Inc. PDF - 154.41 KB
22-20 Valeritas Holdings, Inc. PDF - 150.31 KB
21-20 McDermott International, Inc. PDF - 158.79 KB
20-20 Fred’s Inc. PDF - 421.62 KB
19-20 PetroShare Corp. PDF - 426.55 KB
18-20 Digicel Group One Limited PDF - 424.07 KB
17-20 Alta Mesa Resources PDF - 461.66 KB
16-20 Nuvectra Corporation PDF - 424.76 KB
15-20 Pioneer Energy Services Corp. PDF - 437.14 KB
14-20 Internap Corporation PDF - 432 KB
13-20 Melinta Therapeutics Inc PDF - 423.82 KB
12-20 Zoom Technologies, Inc. (ZOOM) TRADING HALT & SYMBOL CHANGE TO (ZTNO) PDF - 387.41 KB
11-20 Opp Liquidating Co, Inc (f/k/a Orchids Paper Products Co. (TISUQ) PDF - 426.55 KB
10-20 Zoom Technologies, Inc. (ZOOM) TRADING HALT & SYMBOL CHANGE TO (ZTNO) PDF - 285.02 KB
09-20 RAIT Financial Trust PDF - 426.93 KB
08-20 Zoom Technologies, Inc. (OTC: ZOOM), Zoom Telephonics, Inc. (OTC: ZMTP), and Zoom Video Communications, Inc. (Nasdaq: ZM) PDF - 219.32 KB
07-20 MabVax Therapeutics Holdings, Inc. PDF - 426.33 KB
06-20 Pandemic-Related Guidance in Connection with Company-Related Action Submissions PDF - 284.81 KB
05-20 E-TRADE Financial Corporation – 5.875% Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series A & 5.3% Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series B. PDF - 300.19 KB
04-20 Insys Therapeutics Inc. PDF - 420.86 KB
03-20 Southcross Energy Partners, L.P. PDF - 388.34 KB
02-20 Fusion Connect, Inc. PDF - 390.22 KB
01-20 GUE Liquidation Companies, Inc. (fka FTD Companies, Inc.) PDF - 391.28 KB
42-19 Cloud Peak Energy, Inc. PDF - 409.97 KB
41-19 Legacy Reserves, Inc. PDF - 393.61 KB