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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
100-97 CrossKeys Systems Corporation | Dynamic International Ltd | PharMerica Inc PDF - 61.69 KB
99-97 Edison Brothers Stores Inc | Payless Cashways Inc | WMF Group Ltd (The) PDF - 63.63 KB
98-97 ENERGIS | Medical Industries of America Inc PDF - 89.56 KB
97-97 Advantage Marketing Systems Inc | DepoMed Inc | Merisel Inc | MetroNet Communications Corp PDF - 93.47 KB
96-97 Amsurg Inc | Payless Cashways Inc PDF - 117.35 KB
95-97 OAO Technology Solutions Inc (Revision to UPC # 094-97) PDF - 54.94 KB
93-97 Centra Capital Corp | Millennium Sports Management Inc PDF - 137.38 KB
94-97 COLT Telecom Group | Flagstar Companies Inc | OAO Technology Solutions Inc PDF - 99.09 KB
91-97 Aquapro Corp | Del Paint | Food-4-Less PDF - 109.65 KB
92-97 Pharmacontrol | Sellco Corp PDF - 66.03 KB
90-97 Concord Financial Corp | Horizon Financial Services Corp | Hotel Discovery Inc PDF - 152.51 KB
88-97 Integon Capital I PDF - 140.24 KB
89-97 Atlantic Gulf Communities Corporation | Forstmann & Co Inc | JPS Textile Group Inc | San Jacinto Holdings PDF - 91.51 KB
86-97 Massachusetts Electric Co | Narragansett Electric Co (The) | New England Power Co PDF - 262.65 KB
87-97 Colorado Gaming & Entertainment Corp | Mountain Province Mining Inc | Packaging Resources Group Inc PDF - 107.15 KB
85-97 Ecological Recycling Co Inc | Mackenzie Financial Corp PDF - 121.49 KB
84-97 Alabama Power Co | Georgia Power Co | Gulf Power Co | Mississippi Power Co PDF - 299.85 KB
83-97 WRT Energy Corporation PDF - 138.33 KB
82-97 Merisel Inc | Rymer Foods Inc PDF - 138.85 KB
80-97 Australis Media Ltd | Merisel Inc | Town & Country PDF - 101.32 KB
81-97 Hungarian Broadcasting Corporation PDF - 59.51 KB
79-97 Casco International Inc PDF - 39.98 KB
78-97 Double Eagle Petroleum and Mining Company PDF - 41.4 KB
77-97 International Imaging Inc | Microcell Telecommunications Inc PDF - 37.91 KB
75-97 Forstmann & Company Inc | UDC Homes Inc PDF - 84.7 KB