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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
76-97 Grant Geophysical Inc PDF - 68.5 KB
74-97 Bell Canada International Inc | Comptronix Corporation | Premium Standard Farms Inc PDF - 58.16 KB
72-97 American White Cross Inc PDF - 69.26 KB
73-97 Clothestime Inc PDF - 68.11 KB
71-97 BEI Technologies Inc | Crescendo Pharmaceuticals Corporation | Forstmann & Company Inc PDF - 41.21 KB
70-97 Premium Standard Farms Inc PDF - 34.39 KB
69-97 Flagstar Corp | Spectrumedix Corp PDF - 75.88 KB
67-97 Builders Transport Inc | Flagstar Corp PDF - 76.21 KB
68-97 Bio Technology General Corp | Cable Michigan Inc | RCN Corporation | SDN Bancorp PDF - 56.28 KB
66-97 Tele-Communications Inc TCI Ventures Group | Tele-Communications Inc TCI Group PDF - 44.93 KB
65-97 Consumers Energy Co. Fin. II | FF Holdings Corp | Karts International Inc PDF - 50.47 KB
63-97 Koll Real Estate Group Inc | PriceSmart Inc PDF - 36.96 KB
64-97 Indianapolis Power & Light Co PDF - 107.39 KB
62-97 Elsinore Corp | Forstmann & Company Inc PDF - 80.16 KB
61-97 DecisionOne Holdings Corp | Premium Standard Farms Inc PDF - 45.34 KB
59-97 Martin Lawrence Limited Editions Inc PDF - 68.54 KB
60-97 Evergreen International Aviation Inc | Positron Fiber Systems Corporation PDF - 44.57 KB
58-97 Discas Inc | Falcon Holdings Group PDF - 46.36 KB
57-97 Aviation Group Inc | Horn & Hardart PDF - 47.22 KB
56-97 ChromaVision Medical Systems Inc | Fine Air Services Inc PDF - 71 KB
55-97 Azurel Ltd | Mike's Original Inc PDF - 45.72 KB
54-97 Discovery Zone Inc PDF - 59.13 KB
53-97 Fusion Systems Corp PDF - 58.77 KB
52-97 Sassco Fashions Ltd PDF - 36.69 KB
51-97 Washington Mutual Inc | Ionica Group plc(Correction to UPC Notice # 049-97 dtd July 16, 1997) | Pivot Rules Inc PDF - 50.2 KB