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
49-04 Universal Money Centers Inc. PDF - 18.58 KB
50-04 MCI Inc. | Pharmacopeia Drug Discovery Inc. PDF - 19.4 KB
48-04 Randgold & Exploration Co Ltd. PDF - 12.28 KB
46-04 WorldCom Inc. PDF - 15.71 KB
47-04 Eagle Food Centers Inc. PDF - 15.54 KB
45-04 Godzoox Networks Inc. PDF - 15.56 KB
43-04 Fansteel Inc. PDF - 12.29 KB
44-04 Adelphia Business Solutions Inc. PDF - 15.83 KB
42-04 Yara International ASA PDF - 10.52 KB
41-04 Good Friday Trade Date - Settlement Date Schedule | Seibels Bruce Group Inc. PDF - 14.46 KB
40-04 Reptron Electronics Inc. PDF - 12.28 KB
39-04 LifeOne Inc. | Brown Jordan International Inc. PDF - 14.1 KB
37-04 Datascension Inc. PDF - 12.27 KB
38-04 LifeOne Inc. PDF - 15.82 KB
36-04 Scottish & Southern Energy plc PDF - 12.24 KB
35-04 Aurora Foods Inc. PDF - 15.82 KB
33-04 Softbrands Inc. PDF - 12.27 KB
34-04 Color Tile Inc. PDF - 15.51 KB
32-04 American Energy Group Ltd. PDF - 15.85 KB
31-04 4-D Neuroimaging PDF - 11.92 KB
30-04 Bayou Steel Corporation PDF - 12.27 KB
29-04 Galey & Lord Inc. PDF - 15.82 KB
28-04 Bayou Steel Corporation | Merrill Lynch & Co. PDF - 15.79 KB
26-04 Steel Partners Ltd. PDF - 12.27 KB
27-04 Cinar Corporation PDF - 15.59 KB