Skip to main content
Welcome to the new FINRA.org. Learn more about our updates.
Create your own user feedback survey

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
40-19 Bristol Myers Squibb Co PDF - 262.65 KB
39-19 Bristol Myers Squibb Co Contingent Value Rights (When Issued) PDF - 261.06 KB
38-19 PHI, Inc. PDF - 403.73 KB
37-19 Rexhall Industries, Inc. PDF - 388.98 KB
36-19 Halcon Resources Corporation PDF - 433.91 KB
35-19 Ditech Holding Corporation PDF - 395.13 KB
34-19 Aceto Corporation PDF - 395.8 KB
33-19 Altaba, Inc. PDF - 535.75 KB
32-19 Argos Therapeutics Inc PDF - 398.77 KB
31-19 Quantum Fuel Systems Technologies Worldwide, Inc. PDF - 395.28 KB
30-19 Aegerion Pharmaceuticals, Inc. 2% Senior Unsecured Convertible Notes Due 08/15/2019 PDF - 403 KB
29-19 European Metals Corporation PDF - 375.93 KB
28-19 Egalet Corporation (Debt) PDF - 274.9 KB
27-19 Fairway Energy, LP PDF - 401.82 KB
26-19 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 - 270.54 KB
25-19 Point.360 PDF - 407.43 KB
24-19 Vanguard Natural Resources, Inc. PDF - 400.39 KB
23-19 Exco Resources, Inc. PDF - 400.27 KB
22-19 Triangle Pete Corp PDF - 393.89 KB
21-19 Pernix Therapeutics Hldgs, Inc. PDF - 401.66 KB
20-19 Orexigen Therapeutics, Inc. PDF - 400.02 KB
19-19 Aralez Pharmaceuticals Inc PDF - 400.77 KB
18-19 Jones Energy, Inc PDF - 404.64 KB
17-19 Katy Industries, Inc PDF - 401.49 KB
16-19 Synergy Pharmaceuticals, Inc. PDF - 260.69 KB