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
70-11 Tectonic Network, Inc. PDF - 137.39 KB
69-11 Donnkenny, Inc. PDF - 137.05 KB
68-11 Asyst Technologies, Inc. PDF - 137.51 KB
67-11 AVTEAM, Inc. PDF - 136.09 KB
66-11 Borden Chemicals & Plastics, Limited Partnership PDF - 136.94 KB
65-11 Capital Corp of the West PDF - 137.08 KB
64-11 Circuit City Stores, Inc. PDF - 136.67 KB
63-11 Coach Industries Group, Inc. PDF - 136.78 KB
62-11 Consolidated Freightways Corporation PDF - 137.18 KB
61-11 Crdentia Corporation PDF - 136.7 KB
60-11 Friede Goldman Halter, Inc. PDF - 136.54 KB
59-11 Heartland Partners, L.P. PDF - 138.36 KB
58-11 Raser Technologies, Inc. PDF - 136.76 KB
57-11 U.S. Dry Cleaning Corporation PDF - 137.23 KB
56-11 Heilig-Meyers Company PDF - 138.87 KB
55-11 New American Healthcare Corporation PDF - 136.39 KB
54-11 SONICblue Incorporated PDF - 139.04 KB
53-11 Starter Corporation PDF - 136.25 KB
52-11 Transmeridian Exploration, Inc. PDF - 136.78 KB
51-11 Vineyard National Bancorp PDF - 138.18 KB
50-11 Zany Brainy, Inc. PDF - 137.54 KB
49-11 Jackson Hewitt Tax Services PDF - 137.84 KB
48-11 Weirton Steel Corporation PDF - 137.27 KB
47-11 Sterling Mining Company PDF - 137.23 KB
46-11 Medical Staffing Network Holdings, Inc. PDF - 137.16 KB