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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
69-01 Swiss Reinsurance Company PDF - 9.73 KB
67-01 Equity Technologies & Resources Inc. | Joy Global Inc. PDF - 13.58 KB
68-01 Ponte Nossa Acquisition Corp | Rhythms Netconnections Inc. PDF - 12.38 KB
66-01 Envirosource Inc. | The Derby Cycle Corp/Lyon Investments BV PDF - 11.48 KB
65-01 Riverstone Networks Inc. PDF - 9.63 KB
64-01 Paracelsus Healthcare Corporation PDF - 21.25 KB
63-01 Alterra Healthcare Corporation PDF - 7.41 KB
62-01 Garden.com Inc. PDF - 12.76 KB
61-01 Logitech International SA | Trade Reporting Rules For OTC Securities PDF - 10.2 KB
60-01 Petsec Energy Inc. PDF - 10.79 KB
58-01 Paracelsus Healthcare Corporation PDF - 11.45 KB
59-01 Alterra Healthcare Corporation PDF - 8.86 KB
57-01 Harnischfeger Industries Inc. | Renaissance Acceptance Group Inc. PDF - 13.37 KB
56-01 Wavo Corporation PDF - 9.25 KB
55-01 Cardiac Control Systems Inc. | Renaissance Acceptance Group Inc. PDF - 11.38 KB
54-01 Tubos de Acero de Mexico SA PDF - 7.63 KB
76-04 Allegiance Telecom IncLivent Inc PDF - 22.15 KB
53-01 Peugeot SA | Trend Micro Inc. PDF - 8.15 KB
52-01 Harmony Gold Mining Company Ltd. PDF - 7.51 KB
51-01 Global Ocean Carriers Ltd. PDF - 11.04 KB
50-01 PetsMarketing Inc. PDF - 10.16 KB
49-01 Golden Books Publishing Co Inc. PDF - 9.05 KB
48-01 WorldCom Inc. PDF - 9.52 KB
47-01 Vista Eyecare Inc. PDF - 11.01 KB
46-01 Harnischfeger Industries Inc. PDF - 9.18 KB