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
50-12 4Kids Entertainment, Inc. PDF - 157.2 KB
49-12 Trident Microsystems, Inc PDF - 156.43 KB
48-12 CDC Corporation PDF - 156.78 KB
47-12 Catalyst Paper Corporation PDF - 134.3 KB
46-12 Exterra Energy, Inc. PDF - 156.85 KB
45-12 Cagles, Inc. PDF - 156.86 KB
44-12 ShengdaTech, Inc. PDF - 156.72 KB
43-12 Decorator Industries, Inc. PDF - 156.92 KB
42-12 CDEX, Inc. PDF - 157.66 KB
41-12 Capmark Financial Group, Inc. PDF - 59.68 KB
40-12 Dynergy, Inc. PDF - 157.06 KB
39-12 Syms Corporation PDF - 157.69 KB
38-12 Barzel Industries, Inc PDF - 158.19 KB
37-12 Energy Conversion Devices, Inc. PDF - 156.86 KB
36-12 Delta Petroleum Corporation & Amber Resources Company PDF - 157.49 KB
35-12 Franklin Credit Holding Corporation PDF - 251.8 KB
34-12 Cano Petroleum, Inc. PDF - 156.69 KB
33-12 ICOP Digital, Inc. PDF - 250.8 KB
32-12 Evergreen Solar, Inc. PDF - 91.25 KB
31-12 Buffets Restaurants Holdings Inc. PDF - 92.28 KB
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