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11112. Review by Panels of the UPC Committee

For purposes of the UPC Code (FINRA Rule 11000 Series) and other FINRA rules that permit review of FINRA decisions by the UPC Committee, a decision of the UPC Committee may be rendered by a panel of that Committee.

11111. Refusal to Abide by Rulings of the Committee

It shall be considered conduct inconsistent with just and equitable principles of trade for any member to refuse to take any action that is necessary to effectuate a final decision of a FINRA officer or the UPC Committee under the UPC Code (FINRA Rule 11000 Series) or other FINRA rules that permit review of FINRA decisions by the UPC Committee.

Amended by SR-FINRA-2010-030 ef

11110. Committees

A committee designated by the Board of Governors, the Uniform Practice Code Committee (the "Committee"), shall have the power to issue interpretations or rulings with respect to the applicability of this Code to situations in which there is no substantial disagreement as to the facts involved in order to make custom, practice, usage, and trading technique in the investment banking and securities business uniform, to simplify and facilitate day-to-day business of members and to remove causes for business disputes and

11100. SCOPE OF UNIFORM PRACTICE CODE

(a) All over-the-counter secondary market transactions in securities (including restricted securities, as defined in Rule 144(a)(3) under the Securities Act) between members, including the rights and liabilities of the members participating in the transaction, and those operational procedures that affect the day-to-day business of members shall be subject to the provisions of this Code except:

(1) transactions in securities between members which are compared, cleared or settled through the facilities of a regi

11000. UNIFORM PRACTICE CODE

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11100.

10300. UNIFORM CODE OF ARBITRATION

This Code was superseded by the Customer Code (Rule 12000 Series) and the Industry Code (Rule 13000 Series) on April 16, 2007, for claims filed on or after that date. The Code remains in effect, however, for cases filed before April 16, 2007.

10200. INDUSTRY AND CLEARING CONTROVERSIES

10100. ADMINISTRATIVE PROVISIONS

9910. Post-Employment Conflict of Interest Restrictions; Nonpublic Information

(a) One-Year Restriction on Former FINRA Officers

No former officer of FINRA shall knowingly, with the intent to influence, make any communication to or appearance before a FINRA Governor or employee within one year from the former officer's termination of employment with FINRA, on behalf of any other person in connection with any matter on which the former officer seeks official FINRA action by any Governor or employee of FINRA.

9900. RESTRICTIONS ON FORMER FINRA OFFICERS AND EMPLOYEES; NONPUBLIC INFORMATION

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