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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 Sort ascending UPC No. Title Format - Size
68-00 American Rice Inc | Eagle Geophysical Inc PDF - 11.41 KB
67-00 3COM Corporation | Netia Holdings SA | Palm Inc PDF - 9.92 KB
66-00 divine interVentures inc PDF - 7.48 KB
65-00 American TeleSource Internationl Inc PDF - 7.61 KB
64-00 MedQuist Inc | Safety Compents International Inc PDF - 9.19 KB
63-00 Campo Electronics Appliances and Computers Inc | Genesis Health Ventures Inc | San Jacinto Holdings PDF - 11.56 KB
62-00 Lehman Brothers Holdings Inc | StyleSite Marketing Inc PDF - 8.13 KB
61-00 Flexxtech Corporation Tioga Technologies Ltd PDF - 9.49 KB
60-00 Loehmann's Inc | PHP Healthcare Corp PDF - 11.93 KB
58-00 Submicron Systems Corporation | US Digital Communications Inc PDF - 162.22 KB
56-00 Arrow Transportation Company PDF - 161.52 KB
57-00 Penncorp Financial Group Inc | Southwestern Life Holdings PDF - 163.7 KB
55-00 eXtr@ct Inc | GST Telecommunications Inc | Southern Mineral Corp PDF - 9.76 KB
54-00 Penncorp Financial Group Inc | Wavecom SA PDF - 9.52 KB
53-00 Netia Holdings SA New | Radio One Inc PDF - 7.52 KB
52-00 Boston Chicken Inc | Grant Geophysical Inc | eSoftBank.com Inc PDF - 12.18 KB
50-00 Noxso Corporation PDF - 11.44 KB
51-00 Planet Hollywood International Inc PDF - 9.47 KB
49-00 GST Telecommunications Inc PDF - 8.95 KB
48-00 Parthus Technologies PDF - 7.48 KB
47-00 Coho Energy Inc| ContiFinancial Corp PDF - 11.47 KB
46-00 Elan Corporation plc PDF - 7.48 KB
45-00 Planet Hollywood International Inc | Submicron Systems Corp PDF - 9.54 KB
44-00 JumboSports Inc PDF - 8.88 KB
43-00 Autonomy Corporation plc | Boston Chicken Inc | Coho Energy Inc | Planet Hollywood International Inc PDF - 10 KB