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
07-15 ECOtality, Inc. PDF - 158.1 KB
07-16 Xinergy, Ltd. Common Stock PDF - 61.94 KB
07-17 Catalyst Paper Corporation PDF - 183.82 KB
07-18 County First Bank (MD) PDF - 61.88 KB
07-19 Nighthawk Energy PLC PDF - 399.39 KB
07-20 MabVax Therapeutics Holdings, Inc. PDF - 426.33 KB
07-21 Exide Holdings, Inc. PDF - 150.4 KB
07-22 Priority Income Fund, Inc. PDF - 87.33 KB
07-23 Weatherford International PLC PDF - 120 KB
07-24 Synchrony Financial PDF - 91.25 KB
07-25 Vroom, Inc. PDF - 166.4 KB
07-26 AmeriResource Technologies, Inc. PDF - 179.36 KB
07-97 Ora Electronics Inc | Work Recovery Inc PDF - 75.28 KB
07-98 Adelphia Communications Corp. | Alliance Imaging Inc. | Evergreen International Aviation Inc. | General Medical Corp. PDF - 16.4 KB
07-99 General Medical Corp. - Revision to UPC # 005-99|Mark I Industries Inc. PDF - 8.2 KB
070-09 TVIA, Inc PDF - 29.92 KB
071-09 Lear Corporation PDF - 28.28 KB
072-09 Halo Technology Holdings, Inc. PDF - 111.79 KB
073-09 BearingPoint, Inc. PDF - 29.71 KB
074-09 Edge Petroleum Corporation PDF - 103.69 KB
075-09 Idearc Inc PDF - 103.25 KB
08-00 Hvide Marine Inc PDF - 10.08 KB
08-01 Cerplex Group Inc. PDF - 9.42 KB
08-02 Ibonzi.com Inc | Washington Group International Inc PDF - 14.13 KB
08-03 XO Communications Inc PDF - 15.82 KB