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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. Title Format - Size
54-99 PLM Equipment Growth Fund | Vencor Inc. PDF - 6.71 KB
52-99 Discovery Zone Inc. PDF - 6.38 KB
53-99 FPA Medical Management Inc. | Kiddie Academy International Inc. PDF - 9.03 KB
51-99 Iridium LLC/Capital Corp. PDF - 5.91 KB
50-99 Farm Fresh Inc. PDF - 5.77 KB
49-99 Ascent Pediatrics Inc. | Salant Corporation New | United Trust Group Inc. | LabOne Inc. PDF - 6.65 KB
48-99 thehealthchannel.com, Inc. PDF - 7.21 KB
47-99 Farm Fresh Inc. PDF - 6.7 KB
46-99 United Trust, Inc. PDF - 9.87 KB
45-99 Creo Products Inc. PDF - 8.15 KB
43-99 Netia Holdings S.A. PDF - 7.02 KB
44-99 Ableauctions.com Inc. | Hechinger Company PDF - 7.16 KB
42-99 Freeserve plc | Global Crossing Ltd. | Light Management Group Inc. | Penn Traffic Company New PDF - 6.84 KB
40-99 MIDCOM Communications Inc. PDF - 7.56 KB
41-99 Adelphia Communications Corp.|Evergreen International Aviation Inc.|Price Communications Cellular Holdings Inc.|Special Note PDF - 7.57 KB
39-99 Juno Lighting Inc. PDF - 5.85 KB
38-99 PharmaControl PDF - 6.18 KB
37-99 Mobile Energy Services Company LLC|Trend Micro Inc. PDF - 7.69 KB
35-99 Besicorp Ltd.|Building One Services Corporation|Next Generation|RJ Reynolds Tobacco Holdings Inc. PDF - 6.73 KB
36-99 Cityscape Financial Corp.|PLM Equipment Growth Fund II PDF - 8.11 KB
34-99 Hertz Technology Group Inc. PDF - 7.33 KB
33-99 CheckFree Holdings Corp. PDF - 6.28 KB
32-99 Amerisource Health Distribution Corp.|Anglo American PDF - 6.57 KB
31-99 Andros Island Hotel and Casino Inc.|Mobile Energy Services Company LLC|Ryanair Holdings plc PDF - 8.59 KB
30-99 Next Generation Network Inc. - Correction to UPC # 029-99|PharmaControl|Physician Resource Group PDF - 6.68 KB