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
36-04 Scottish & Southern Energy plc PDF - 12.24 KB
35-04 Aurora Foods Inc. PDF - 15.82 KB
33-04 Softbrands Inc. PDF - 12.27 KB
34-04 Color Tile Inc. PDF - 15.51 KB
32-04 American Energy Group Ltd. PDF - 15.85 KB
31-04 4-D Neuroimaging PDF - 11.92 KB
30-04 Bayou Steel Corporation PDF - 12.27 KB
29-04 Galey & Lord Inc. PDF - 15.82 KB
28-04 Bayou Steel Corporation | Merrill Lynch & Co. PDF - 15.79 KB
26-04 Steel Partners Ltd. PDF - 12.27 KB
27-04 Cinar Corporation PDF - 15.59 KB
25-04 NES Rentals Holdings Inc. | Paid Inc. PDF - 12.37 KB
23-04 BioVeris Corporation PDF - 11.94 KB
24-04 Acambis plc PDF - 12.6 KB
22-04 ACL Semiconductors Inc. PDF - 12.3 KB
21-04 Interactive Telesis Inc. PDF - 15.81 KB
19-04 Fruit of the Loom Inc. | Impala Platinum Holdings LTD PDF - 14.59 KB
20-04 Radio Unica Communications Corp. PDF - 12.57 KB
17-04 Strategic Alliance Group Inc. PDF - 11.96 KB
18-04 Reptron Electronics Inc. PDF - 12.5 KB
16-04 Presidents Day Trade Date Settlement Date Schedule PDF - 14.22 KB
15-04 Nutek Inc. PDF - 14.38 KB
14-04 Axtive Corporation PDF - 12.27 KB
13-04 Alterra Healthcare Corporation | Peregrine Systems Inc. PDF - 15.97 KB
12-04 Abovenet Inc. | Hayes Lemmerz International Inc. PDF - 12.11 KB