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
40-08 The Bombay Company , Inc. PDF - 100.88 KB
39-08 Frontline Capital Group PDF - 101.46 KB
38-08 Remy International, Inc. PDF - 96.25 KB
37-08 Fedders Corporation PDF - 97.12 KB
36-08 Storage Engine, Inc. PDF - 96.6 KB
35-08 NetWolves Corporation PDF - 96.59 KB
34-08 Kitty Hawk, Inc. PDF - 96.35 KB
33-08 IAC/InteractiveCorp; HSN, Inc.; Interval Leisure Group; Ticketmaster; & Tree.com PDF - 22.53 KB
32-08 Ballarpur Industries Ltd 144a and Reg S PDF - 17.53 KB
31-08 Banco Venezolano de Credito S.A. PDF - 59.79 KB
30-08 E.ON AG PDF - 60 KB
29-08 New Century Financial Corp. PDF - 73.61 KB
28-08 CC Media Holdings, Inc. Class A PDF - 56.35 KB
27-08 Electrosource, Inc. PDF - 96.1 KB
26-08 GDF SUEZ Sponsored ADR PDF - 57.83 KB
25-08 Yuba Westgold, Inc. PDF - 96.64 KB
24-08 GDF SUEZ Sponsored ADR PDF - 69.28 KB
23-08 Large Scale Biology Corp PDF - 100.37 KB
22-08 CPEX Pharmaceuticals, Inc. PDF - 22.33 KB
21-08 Dura Automotive Systems, Inc. PDF - 101.51 KB
20-08 Daisytek International Corp PDF - 100.73 KB
19-08 pSividia Corp PDF - 21.73 KB
18-08 Resorts World BHD PDF - 64.91 KB
17-08 Universal Access Global Holdings Inc. PDF - 101.04 KB
16-08 SLI, Inc. PDF - 100.93 KB