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
30-12 Chartwell International, Inc. PDF - 136.89 KB
29-12 LINC Capital, Inc. PDF - 136.22 KB
28-12 HUSA Liquidating Corporation PDF - 136.56 KB
27-12 Imperial Capital Bancorp, Inc. PDF - 136.82 KB
26-12 Reddy Ice Holdings, Inc. PDF - 136.89 KB
25-12 Certified Diabetic Services, Inc. PDF - 138.21 KB
24-12 General Maritime Corporation PDF - 136.44 KB
23-12 Green Builders, Inc. PDF - 137.63 KB
22-12 TBS International Plc PDF - 136.57 KB
21-12 Trailer Bridge, Inc. PDF - 137.21 KB
20-12 Ener1, Inc. Common Stock PDF - 135.88 KB
19-12 Washington Mutual, Inc PDF - 138.52 KB
18-12 Scotoil Petroleum Limited PDF - 121.74 KB
17-12 Tapestry Pharmaceuticals PDF - 139.51 KB
16-12 Great Atlantic & Pacific Tea Company, Inc. PDF - 142.09 KB
15-12 BankUnited Financial Corporation PDF - 137.4 KB
14-12 Epic Energy Resources, Inc. PDF - 136.16 KB
13-12 Lehman Brothers Holdings, Inc. PDF - 141.12 KB
12-12 U.S. Aggregates, Inc. PDF - 136.98 KB
11-12 FIRSTPLUS Financial Group, Inc. PDF - 136.94 KB
10-12 Ronson Corporation PDF - 140.58 KB
09-12 Teltronics, Inc. PDF - 137.01 KB
08-12 Molecular Imaging PDF - 136.71 KB
07-12 MSU Devices, Inc. PDF - 136.61 KB
06-12 Kinder Morgan, Inc. Warrants PDF - 52.26 KB