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
06-17 American Eagle Energy Corporation PDF - 162.87 KB
05-17 4Licensing Corporation PDF - 157.53 KB
04-17 BSD Medical Corporation f/k/a Perseon Corporation PDF - 174.23 KB
03-17 Energy XXI Ltd. PDF - 183.6 KB
02-17 C&J Energy Services, Ltd. PDF - 172.04 KB
01-17 SFX Entertainment, Inc. PDF - 158.24 KB
61-16 Key Energy Services, Inc. PDF - 171.17 KB
60-16 Life Partners Holdings, Inc. PDF - 158.45 KB
59-16 Hercules Offshore Inc. PDF - 160.2 KB
58-16 Pacific Exploration & Production Corp. PDF - 222.31 KB
57-16 Saratoga Resources Inc. PDF - 173.22 KB
56-16 Pacific Exploration & Production Corp. PDF - 165.63 KB
55-16 Doral Financial Corporation PDF - 163.22 KB
54-16 Midstates Petroleum Company, Inc. PDF - 200.68 KB
53-16 Goodrich Petroleum Corporation PDF - 172.38 KB
52-16 DNIB Unwind, Inc. (f/k/a BIND Therapeutics, Inc.) PDF - 176.16 KB
51-16 Warren Resources, Inc. PDF - 178.28 KB
50-16 Horsehead Holding Corp. PDF - 157.86 KB
49-16 Arch Coal, Inc. PDF - 158.67 KB
48-16 Sandridge Energy Inc. PDF - 180.02 KB
47-16 TCEH Corporation Common Stock PDF - 162.85 KB
46-16 TCEH Corporation. PDF - 159.98 KB
45-16 Penn Virginia Corporation PDF - 182.05 KB
44-16 American Standard Energy Corp. PDF - 158.97 KB
43-16 Dex Media, Inc. PDF - 159.17 KB