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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
11-02 Ambassadors International Inc PDF - 9.23 KB
09-02 Algoma Steel Inc | Global Crossing Holdings Ltd PDF - 13.06 KB
10-02 McLeodUSA Inc | WaveRider Communications Inc PDF - 11.26 KB
08-02 Ibonzi.com Inc | Washington Group International Inc PDF - 14.13 KB
07-02 Kmart Corp PDF - 11.33 KB
06-02 Anacomp Inc PDF - 9.19 KB
05-02 Southern Telecommunications Company PDF - 9.33 KB
04-02 Advanced Radio Telecom Corporation PDF - 20.43 KB
03-02 U S Office Products Company PDF - 21.25 KB
02-02 Pioneer Companies Inc PDF - 12.67 KB
01-02 Loewen Group Inc PDF - 20.46 KB
107-01 GST Equipment Funding | GST Network Funding PDF - 16.51 KB
108-01 QXL Ricardo plc PDF - 9.44 KB
106-01 Video Update Inc. PDF - 12.67 KB
105-01 CyberCash Inc. PDF - 12.48 KB
104-01 Park N. View Inc. PDF - 12.51 KB
103-01 Terracom Inc. PDF - 9.44 KB
102-01 Beyond.com Corporation PDF - 10.73 KB
100-01 ENRON Corporation PDF - 15.59 KB
101-01 Sonera Corporation PDF - 12.75 KB
99-01 OJSC Novosibirsk Region PDF - 9.36 KB
98-01 XO Communications Inc. PDF - 10.77 KB
97-01 Metal Management Inc. PDF - 10.7 KB
95-01 Great Lakes Carbon | Metal Management Inc. PDF - 11.11 KB
96-01 Singer NV PDF - 11.16 KB