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
39-10 Smurfit-Stone Container Corporation PDF - 28.31 KB
38-10 Oscient Pharmaceuticals Corporation PDF - 102.2 KB
37-10 Smurfit-Stone Container Corporation PDF - 106.59 KB
36-10 Smurfit-Stone Container Enterprises Inc. PDF - 29.31 KB
35-10 360 Global Wine Company PDF - 150.32 KB
34-10 Midway Games, Inc. PDF - 103.38 KB
33-10 deCODE genetics, Inc. PDF - 32.72 KB
32-10 Fremont General Corporation PDF - 29.01 KB
31-10 Citadel Broadcasting Corporation PDF - 102.36 KB
30-10 Le Bon Table Brand Foods Corporation PDF - 28.89 KB
29-10 Cooper-Standard Holdings Inc. PDF - 28.34 KB
28-10 PCD, Inc. PDF - 102.34 KB
27-10 Cooper-Standard Holdings Inc. PDF - 28.24 KB
26-10 Cooper-Standard Holdings Inc. PDF - 33.76 KB
25-10 Cooper-Standard Holdings Inc. PDF - 29.35 KB
24-10 Spansion, Inc. PDF - 102.22 KB
23-10 LyondellBasell Industries NV PDF - 28.28 KB
22-10 Six Flags, Inc. PDF - 102.8 KB
21-10 LyondellBasell Industries PDF - 28.02 KB
20-10 LyondellBasell Industries PDF - 29.37 KB
19-10 Regent Communications, Inc. PDF - 104.3 KB
18-10 Vion Pharmaceuticals, Inc. PDF - 101.81 KB
17-10 Eddie Bauer Holdings, Inc. PDF - 101.05 KB
16-10 PNG Ventures, Inc. PDF - 102.78 KB
15-10 Cross Canyon Energy Corp. PDF - 101.93 KB