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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. Sort ascending Title Format - Size
UPC #28-14 Furniture Brands International, Inc. (FBNIQ) PDF - 157.44 KB
99-98 Harvard Industries Inc. PDF - 6.45 KB
99-97 Edison Brothers Stores Inc | Payless Cashways Inc | WMF Group Ltd (The) PDF - 63.63 KB
99-21 Western Alliance Bancorporation PDF - 88.08 KB
99-11 Luminant Worldwide Corporation PDF - 137.1 KB
99-05 American Caresource Holdings Inc<br>First Virtual Communications Inc PDF - 88.14 KB
99-04 Redwood Entertainment Group Inc PDF - 92.39 KB
99-03 Paper Warehouse Inc PDF - 14.87 KB
99-02 Anchor Glass Container Corporation PDF - 19.43 KB
99-01 OJSC Novosibirsk Region PDF - 9.36 KB
99-00 PT Polytama Propindo PDF - 8.94 KB
98-98 Claimsnet.com Inc. PDF - 7.65 KB
98-97 ENERGIS | Medical Industries of America Inc PDF - 89.56 KB
98-21 Vornado Realty Trust (VNOOP) PDF - 92.17 KB
98-11 CORUS Bankshares, Inc. PDF - 137.13 KB
98-05 Triple Crown Media Inc PDF - 69.45 KB
98-04 Bookham Inc PDF - 74.17 KB
98-03 Caribbean Development Corporation | Crown Vantage Inc PDF - 13.37 KB
98-02 Aeon Company Ltd | Banyu Pharmaceutical Ltd | Bridgestone CorporationDai Nippon Prtg Ltd Japan | Kao Corporation | Omron Corporation | Sharp Corporation PDF - 18.87 KB
98-01 XO Communications Inc. PDF - 10.77 KB
98-00 Diagnostic Health Services Inc PDF - 11.06 KB
97-98 Bradlees Inc. | Keller Financial Services - Correction to UPC # 095-98 | William Wrigley Jr. Co. PDF - 15.87 KB
97-97 Advantage Marketing Systems Inc | DepoMed Inc | Merisel Inc | MetroNet Communications Corp PDF - 93.47 KB
97-21 Inpoint Commercial Real Estate Inc Preferred Ser A (OTC Symbol: IPCRV) PDF - 100.77 KB
97-11 Movie Gallery Inc. PDF - 136.92 KB