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 |
---|---|---|---|
06-12 | Kinder Morgan, Inc. Warrants | PDF - 52.26 KB | |
05-12 | Ultimate Escapes Holdings, LLC | PDF - 136.96 KB | |
04-12 | R&G Financial Corporation | PDF - 137.67 KB | |
03-12 | Trico Marine Services, Inc. | PDF - 138.55 KB | |
02-12 | Nutrition 21 Inc. | PDF - 140.68 KB | |
01-12 | Borders Group, Inc. | PDF - 137.16 KB | |
120-11 | Palm Harbor Homes, Inc. | PDF - 136.82 KB | |
119-11 | Chorus Limited | PDF - 122.63 KB | |
118-11 | Kellstrom Industries, Inc. | PDF - 136.46 KB | |
117-11 | Astrocom Corp | PDF - 136.4 KB | |
116-11 | Chorus Limited | PDF - 121.96 KB | |
115-11 | Enron Corporation | PDF - 137.29 KB | |
114-11 | Comdial Corporation | PDF - 136.33 KB | |
113-11 | 800 Travel Systems, Inc. | PDF - 137.17 KB | |
112-11 | USinternetworking, Inc. | PDF - 137.19 KB | |
111-11 | Levitz Furniture Inc. | PDF - 136.34 KB | |
110-11 | Cinemastar Luxury Theaters, Inc. | PDF - 136.33 KB | |
109-11 | American Mortgage Acceptance Company | PDF - 136.5 KB | |
108-11 | AMF Bowling, Inc. | PDF - 138.75 KB | |
107-11 | All American Semiconductor, Inc. | PDF - 136.48 KB | |
106-11 | Highlands Insurance Group, Inc. | PDF - 137.51 KB | |
105-11 | Hispanic Television Network, Inc. | PDF - 137.08 KB | |
104-11 | DVI, Inc. | PDF - 136.54 KB | |
103-11 | Fairchild Corporation (The) | PDF - 137.77 KB | |
102-11 | InaCom Corp. | PDF - 136.44 KB |