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
75-04 Royal Energy Inc PDF - 29.49 KB
74-04 Independence Day Trade Date - Settlement Date Schedule PDF - 21.79 KB
73-04 Metricom Finance Corporation PDF - 20.85 KB
72-04 Nucentrix Broadband Networks Inc. PDF - 22.05 KB
71-04 Make Your Move Inc. PDF - 28.36 KB
70-04 LTV Corporation PDF - 20.68 KB
68-04 Employee Solutions Inc. | Liberty Media International Inc. PDF - 22.51 KB
69-04 Day Of Mourning PDF - 18.36 KB
67-04 JAG Media Holdings Inc. PDF - 20.86 KB
66-04 LTV Corporation PDF - 20.69 KB
65-04 Costilla Energy Inc. PDF - 19.35 KB
64-04 Employee Solutions Inc. PDF - 20.82 KB
63-04 Phar-Mor Inc. PDF - 19.12 KB
62-04 Memorial Day Trade Date - Settlement Date Schedule PDF - 21.82 KB
60-04 Hemosol Corportaion PDF - 18.55 KB
61-04 Steakhouse Partners Inc. PDF - 19.67 KB
58-04 Keller Manufacturing Company Inc. PDF - 18.58 KB
59-04 Dyna-Cam Engine Corporation PDF - 28.26 KB
57-04 New World Pasta Co. PDF - 19.05 KB
56-04 Exide Technologies PDF - 22.12 KB
53-04 Steakhouse Partners Inc. PDF - 21.29 KB
54-04 DigitalThink Inc. PDF - 20.74 KB
55-04 Metricom Finance Corporation PDF - 20.88 KB
51-04 Infosys Technologies Limited PDF - 18.02 KB
52-04 Liberty Mint Ltd. PDF - 28.36 KB