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
16-07 Allied Holdings Inc.|Northwest Airlines Corp. PDF - 88.26 KB
15-07 Northwest Airlines Corp. PDF - 36.56 KB
14-07 Delta Air Lines, Inc. PDF - 87.06 KB
13-07 Bighub.com, Inc. PDF - 102.78 KB
12-07 Delta Air Lines Inc PDF - 69.39 KB
11-07 FLYi, Inc PDF - 86 KB
10-07 Adams Respiratory Therapeutics, Inc PDF - 17.26 KB
09-07 CP&L Energy Inc PDF - 29.89 KB
08-07 Siti-Sites.com Inc PDF - 30.37 KB
07-07 GB Holdings, Inc. PDF - 30.38 KB
06-07 OCA, Inc PDF - 46.41 KB
05-07 Time Warner Cable, Inc PDF - 46.7 KB
04-07 Xybernaut Corporation PDF - 33.82 KB
03-07 Nextwave Wireless Inc PDF - 18.46 KB
02-07 Home Director, Inc PDF - 33.02 KB
01-07 Time Warner Cable Inc PDF - 35.82 KB
68-06 The NASDAQ Stock Market, Inc. PDF - 18.55 KB
67-06 ASAT Holdings Ltd PDF - 17.61 KB
66-06 Winn-Dixie Common Stock WI PDF - 17.64 KB
65-06 Owens Corning Inc PDF - 18.53 KB
64-06 Cyrela Brazil Realty S.A. - American Depositary Receipts PDF - 18.88 KB
63-06 Winn-Dixie Stores Inc PDF - 36.52 KB
62-06 Nextwave Wireless Inc PDF - 35.95 KB
61-06 Anchor Glass Container Corporation PDF - 36.29 KB
60-06 Huffy Corporation PDF - 36.24 KB