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
14-09 Constar International, Inc. PDF - 29.34 KB
13-09 Shearson Financial Networks, Inc. PDF - 31.07 KB
12-09 Hines Horticulture Inc PDF - 28.96 KB
11-09 Charys Holding Company, Inc. PDF - 27.03 KB
10-09 Apex Silver Mines Limited PDF - 27.47 KB
09-09 Superior Offshore International, Inc. PDF - 67.91 KB
08-09 Sea Containers Ltd. PDF - 96.2 KB
07-09 Wellman, Inc. PDF - 96.37 KB
06-09 FINRA Amends Form 211 PDF - 31.69 KB
05-09 Secured Diversified Investment, Ltd. PDF - 96.44 KB
04-09 PRB Energy, Inc. PDF - 96.46 KB
03-09 Interstate Bakeries Corporation PDF - 96.37 KB
02-09 Delta Financial Corporation PDF - 95.94 KB
01-09 Sumitomo Mitsui Financial Group Inc PDF - 59.51 KB
51-08 The Gabelli Global Deal Fund PDF - 13.05 KB
49-08 REI Agro Limited PDF - 63.13 KB
50-08 FINRA Introduces New Uniform Practice Code (UPC) Forms PDF - 24.21 KB
48-08 Tarpon Industries Inc PDF - 96.62 KB
47-08 DOBI Medical International Inc PDF - 96.46 KB
46-08 OTC Equity Halt Authority Notice PDF - 16.6 KB
45-08 SunPower Corporation PDF - 16.11 KB
44-08 Ampex Corporation PDF - 96.25 KB
43-08 NetBank, Inc. PDF - 96.56 KB
42-08 Ascent Media Corporation PDF - 21.3 KB
41-08 Remy International, Inc. PDF - 64.52 KB