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
31-17 rVue Holdings, Inc. PDF - 49.68 KB
30-17 Paragon Offshore PLC PDF - 179.8 KB
29-17 Hancock Fabrics, Inc. PDF - 96.45 KB
28-17 International Shipholding Corporation PDF - 158.07 KB
27-17 Azure Midstream Partners PDF - 57.69 KB
26-17 Newmarkt Corp. PDF - 62.8 KB
25-17 NephroGenex, Inc. PDF - 158.92 KB
24-17 Newmarkt Corp. PDF - 43.07 KB
23-17 Money Centers of America, Inc. PDF - 162.51 KB
22-17 Cosi, Inc. PDF - 157.88 KB
21-17 Memorial Production Partners LP PDF - 187.84 KB
20-17 P10 Industries Inc PDF - 173.65 KB
19-17 Erickson, Inc. PDF - 178.23 KB
18-17 Violin Memory Inc. PDF - 174.54 KB
17-17 Republic Airways Holdings Inc. PDF - 158.79 KB
16-17 Forbes Energy Services Ltd. PDF - 179.34 KB
15-17 Ultra Petroleum Corp. PDF - 182.49 KB
14-17 Emerald Oil, Inc. PDF - 158.95 KB
13-17 Ultrapetrol (Bahamas) Limited. PDF - 48.96 KB
12-17 Peabody Energy Corp. PDF - 282.21 KB
11-17 CHC Group, Ltd. PDF - 178.57 KB
10-17 Stone Energy Corporation PDF - 186.73 KB
09-17 Linn Energy LLC (LINEQ) & LinnCo LLC (LNCOQ) PDF - 192.39 KB
08-17 E-TRADE Financial Corporation PDF - 93.92 KB
07-17 Catalyst Paper Corporation PDF - 183.82 KB