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
42-16 Halcon Resources Corporation PDF - 191.67 KB
41-16 Pacific Sunwear of California, Inc. PDF - 158.86 KB
40-16 Atlas Resources Partners, L.P. PDF - 179.14 KB
39-16 Quicksilver Resources Inc PDF - 158.61 KB
38-16 MolyCorp Inc. DE PDF - 158.97 KB
37-16 Dell Technologies, Inc. Class V Common Stock PDF - 162.08 KB
36-16 Wave Systems Corp. PDF - 159.29 KB
35-16 Sebring Software, Inc. PDF - 160.04 KB
34-16 Sabine Oil & Gas Corporation PDF - 160.26 KB
33-16 Jetcom Inc. PDF - 40.13 KB
32-16 Blue Earth, Inc. PDF - 159.55 KB
31-16 Jetcom Inc. PDF - 40.53 KB
30-16 Dell Technologies Inc. Class V Common Stock (When Issued) PDF - 159.64 KB
29-16 Seventy Seven Energy Inc. PDF - 262.03 KB
28-16 Alpha Natural Resources, Inc. PDF - 170 KB
27-16 Commercehub, Inc PDF - 161.37 KB
26-16 Commercehub, Inc. PDF - 155.78 KB
25-16 Verso Corporation PDF - 158.43 KB
24-16 Bluerock Residential Growth REIT Inc. PDF - 162.09 KB
23-16 SG Blocks, Inc. PDF - 160.76 KB
22-16 Bluerock Residential Growth REIT Inc. Series C Preferred Stock (When Issued) PDF - 67.74 KB
21-16 Fairway Group Holdings Corp. PDF - 159.7 KB
20-16 Axion International Holdings, Inc. PDF - 157.74 KB
19-16 HII Technologies, Inc. PDF - 160.79 KB
18-16 RCS Capital Corporation PDF - 156.28 KB