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
17-16 Nuo Therapeutics, Inc PDF - 160.5 KB
16-16 American Natural Energy Corporation PDF - 156.33 KB
15-16 Magnum Hunter Resources Corporation PDF - 161.11 KB
14-16 Swift Energy Company PDF - 289.63 KB
13-16 Miller Energy Resources, Inc. PDF - 159.56 KB
12-16 Boomerang Systems, Inc. PDF - 159.04 KB
11-16 James River Coal Company PDF - 163.54 KB
10-16 GT Advanced Technologies, Inc. PDF - 162.53 KB
09-16 Trump Entertainment Resorts, Inc. PDF - 162.38 KB
08-16 Cubic Energy, Inc. Common Stock PDF - 61.28 KB
07-16 Xinergy, Ltd. Common Stock PDF - 61.94 KB
06-16 Quiksilver, Inc. Common Stock PDF - 158.7 KB
05-16 University General Health System, Inc. PDF - 61.64 KB
04-16 American Apparel, Inc. PDF - 157.51 KB
03-16 Assured Pharmacy, Inc. PDF - 157.61 KB
02-16 BPZ Resources, Inc. PDF - 161.7 KB
01-16 Wet Seal, Inc. PDF - 158.3 KB
36-15 Standard Register Co. PDF - 157.15 KB
35-15 Riviera Tool Company Common Stock PDF - 44.12 KB
34-15 Point Blank Solutions, Inc. PDF - 161.43 KB
33-15 Hercules Offshore, Inc PDF - 183.43 KB
32-15 Patriot Coal Corporation PDF - 156.96 KB
31-15 Allied Nev Gold Corp PDF - 166.71 KB
30-15 RS Legacy Corp (fka RadioShack Corp.) PDF - 159.02 KB
29-15 HEI, Inc. PDF - 158.19 KB