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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
49-97 Leslie Fay Company Inc | (The) Pivot Rules Inc | Sassco Fashions Ltd | United Trust Inc | Unique Casual Restaurants Inc PDF - 54.47 KB
48-97 Sheridan Energy Inc PDF - 34.38 KB
47-97 Littlefuse Inc PDF - 76.84 KB
46-97 Ascent Entertainment Group Inc | Builders Transport Inc | Crescent Operating Inc | Griffin Land & Nurseries Inc PDF - 55.8 KB
42-97 Leslie Fay Companies Inc PDF - 57.32 KB
43-97 Capital Gaming Int'l Inc | Evergreen International Aviation Inc PDF - 58.02 KB
44-97 Australis Media Ltd | Del Paint | Packaging Resources Group Inc PDF - 57.84 KB
45-97 Amerisource Health Distribution Corp | Pharmacontrol | SDN Bancorp Floating PDF - 52.37 KB
41-97 Eco2, Inc PDF - 74.1 KB
40-97 Conserver Corporation of America | Western Bancorp PDF - 38.09 KB
38-97 Implementation of DTC's Initial Public Offering (IPO) Tracking System PDF - 76.92 KB
39-97 Amendments to NASD Rule 11580 and 11870 of the Uniform Practice Code PDF - 113.4 KB
37-97 Food-4-Less | Sellco Corp | Pharmacontrol PDF - 46.79 KB
36-97 Gulf Mark Offshore Inc | G. Willi-Food International Ltd | Talbert Medical Management Holdings Corp PDF - 47.15 KB
35-97 Vital Images Inc PDF - 35.18 KB
32-97 ICH Corporation PDF - 38.79 KB
33-97 Colorado Gaming & Entertainment Corp | San Jacinto Holdings | UDC Homes Inc PDF - 49.81 KB
34-97 SLM International Inc PDF - 43 KB
31-97 United Trust Inc PDF - 59.38 KB
30-97 Avgold Ltd ADR | Town and Country | UNIVEC Inc PDF - 49.52 KB
29-97 Capital Gaming International Inc PDF - 74.04 KB
28-97 D.G. Jewellery of Canada Ltd PDF - 37.4 KB
27-97 Apollo BioPharmaceutics Inc PDF - 67.76 KB
25-97 Burlington Motor Holdings Inc PDF - 52.4 KB
26-97 International Sports Wagering Inc | Premium Standard Farms Inc | Questron Technology Inc PDF - 59.62 KB