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
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
101-11 Jacobson Stores, Inc. PDF - 136.53 KB