Uniform Practice Code

FINRA Rule 11810 - Buy-In Procedures and Requirements

12/21/12   Interpretive Letter to Ira Hammerman, The Securities Industry and Financial Markets Association

NASD Rule 11190 - Reconfirmation and Pricing Service Participants

6/9/10   Interpretive Letter to Merrie Faye Witkin, The Depository Trust & Clearing Corporation

NASD Rule 11200 Series

10/15/01   Interpretive Letter to Mark W. Bolle, Raymond James Financial Services, Inc.

NASD Rule 11870 - Customer Account Transfer Contracts

2/21/97   Interpretive Letter to Name Not Public