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
02-21 Approach Resources Inc. PDF - 155.23 KB
01-21 Covia Holdings Corporation PDF - 151.57 KB
52-20 Guitar Center, Inc. PDF - 161.7 KB
51-20 Vivus, Inc. PDF - 149.7 KB
50-20 Tailored Brands, Inc PDF - 156.63 KB
49-20 Luminar Media Group, Inc. (OTC: LRGR) and Luminar Technologies, Inc. PDF - 126.77 KB
48-20 Lonestar Resources US, Inc. PDF - 196.29 KB
47-20 FTS International, Inc. PDF - 206.71 KB
46-20 Oasis Petroleum, Inc.
PDF - 219.97 KB
45-20 Libbey Inc PDF - 166.06 KB
44-20 Hi-Crush Inc. PDF - 174.68 KB
43-20 Pier 1 Imports, Inc. PDF - 162.39 KB
42-20 Stage Stores, Inc. PDF - 154.87 KB
41-20 California Resources Corporation PDF - 178.86 KB
40-20 Chaparral Energy, Inc. PDF - 168.06 KB
39-20 Centric Brands, Inc. PDF - 157.78 KB
38-20 Akorn, Inc PDF - 145.89 KB
37-20 Denbury Resources, Inc. PDF - 176.82 KB
36-20 Ultra Petroleum Corp. PDF - 161.79 KB
35-20 Rosehill Resources, Inc. PDF - 154.65 KB
34-20 Hornbeck Offshore Services, Inc. PDF - 163.87 KB
33-20 Jason Industries, Inc. PDF - 147.62 KB
32-20 Pyxus Intl Inc. PDF - 185.41 KB
31-20 Mood Media Corp. PDF - 167.89 KB
30-20 Sanchez Energy Corp. PDF - 163.42 KB