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
061-09 Charter Communications, Inc. PDF - 89.16 KB
062-09 Ion Media Networks Inc PDF - 112.95 KB
063-09 ISCO International Inc PDF - 31.04 KB
064-09 Aurora Oil PDF - 31.04 KB
065-09 Cape Fear Bank Corporation PDF - 28.88 KB
066-09 LD Holdings, Inc. PDF - 29.77 KB
067-02 Citadel Security Software Inc | Southwest Royalties Inc PDF - 19.67 KB
067-09 Pilgrim’s Pride Corporation PDF - 27.42 KB
068-09 Charter Communications, Inc. PDF - 87.62 KB
069-09 LD Holdings, Inc. PDF - 28.76 KB
07-00 Globalock Corporation | Hvide Marine Inc PDF - 10.31 KB
07-01 Southern Pacific Funding Corporation PDF - 13.29 KB
07-02 Kmart Corp PDF - 11.33 KB
07-03 Golden Northwest Aluminum Inc | JL French Automotive Castings Inc PDF - 14.35 KB
07-04 Tandycrafts Inc. PDF - 15.59 KB
07-05 Atlantic Turnkey Corporation PDF - 87.62 KB
07-06 Ultimate Electronics Inc PDF - 85.44 KB
07-07 GB Holdings, Inc. PDF - 30.38 KB
07-08 MMX Mineracao e Metalicos SA PDF - 45.64 KB
07-09 Wellman, Inc. PDF - 96.37 KB
07-10 R.H. Donnelley Corporation PDF - 103.11 KB
07-11 U.S. Energy Systems, Inc. PDF - 45.44 KB
07-12 MSU Devices, Inc. PDF - 136.61 KB
07-13 Education 1 Holdings, Inc. PDF - 251.38 KB
07-14 American Ammunition, Inc. PDF - 157.41 KB