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
29-13 Lexington Precision Corp. PDF - 250.95 KB
28-13 Penson Worldwide, Inc. PDF - 252.59 KB
27-13 KIT Digital, Inc. PDF - 260.71 KB
26-13 THQ, Inc. PDF - 251.63 KB
25-13 Imaging3 Inc. PDF - 251.05 KB
24-13 Biovest International, Inc. PDF - 252.25 KB
23-13 A123 Systems, Inc. PDF - 250.69 KB
22-13 Game Trading Technologies, Inc. PDF - 252.69 KB
21-13 Copper King Mining Corporation PDF - 253.26 KB
20-13 School Specialty, Inc. PDF - 257.51 KB
19-13 Central European Distribution Corporation PDF - 330.58 KB
18-13 MF Global Holdings Ltd. PDF - 338.25 KB
17-13 Omega Navigation Enterprises, Inc. PDF - 330.46 KB
16-13 B H Ocean Carriers Ltd. PDF - 331 KB
15-13 Geokinetics, Inc. PDF - 251.74 KB
14-13 Pinnacle Airlines Corp. PDF - 251.03 KB
13-13 Ambac Financial Group, Inc. PDF - 251.99 KB
12-13 GameTech International, Inc. PDF - 251.04 KB
11-13 LodgeNet Interactive Corp. PDF - 252.23 KB
10-13 Grubb & Ellis Company PDF - 252.2 KB
09-13 LodgeNet Interactive Corporation PDF - 251.21 KB
08-13 Verso Technologies, Inc. PDF - 253.41 KB
07-13 Education 1 Holdings, Inc. PDF - 251.38 KB
06-13 TerreStar Corporation PDF - 253.73 KB
05-13 Tumbleweed, Inc. PDF - 158.94 KB