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
064-09 Aurora Oil PDF - 31.04 KB
063-09 ISCO International Inc PDF - 31.04 KB
062-09 Ion Media Networks Inc PDF - 112.95 KB
061-09 Charter Communications, Inc. PDF - 89.16 KB
060-09 Hayes Lemmerz International Inc PDF - 113.21 KB
059-09 Quaker Fabric Corporation PDF - 31.07 KB
058-09 Silicon Graphics, Inc. PDF - 31.01 KB
057-09 CIT Group, Inc. PDF - 30.12 KB
056-09 CIT Group, Inc. PDF - 29.93 KB
055-09 CIT Group, Inc. PDF - 31.01 KB
054-09 LandAmerica Financial Group, Inc PDF - 31.03 KB
053-09 SystemOne Technologies, Inc PDF - 31 KB
052-09 Noble International, Ltd PDF - 30.99 KB
051-09 Pliant Corporation PDF - 31.03 KB
050-09 Charter Communications, Inc. PDF - 28.07 KB
049-09 Charter Communications, Inc. PDF - 31.03 KB
048-09 Lear Corporation Partn Pfd Convertible Series A PDF - 29.36 KB
047-09 U.S. Shipping Partners L.P. Common Units PDF - 33.34 KB
046-09 ProxyMed, Inc. PDF - 33.41 KB
045-09 Lear Corporation PDF - 29.52 KB
044-09 Capco Energy, Inc. PDF - 31.02 KB
043-09 Rouge Industries, Inc. PDF - 31.02 KB
42-09 Terra Nostra Resources Corp. PDF - 33.41 KB
41-09 Dayton Superior Corporation PDF - 31.03 KB
40-09 Espre Soluctions, Inc. PDF - 33.39 KB