PIABA Bylaws, Policy Guidelines and List-Serve Guidelines (Governing Documents) I affirm that I have read the PIABA Bylaws, Policy Statements, and Guidelines for Use of the PIABA List-Serves, and agree to abide by the Association governing documents at all times. I further agree that I will insure all attorneys, para-professionals, and others in my office who have access to any list-serve(s) will abide by the governing documents, and agree that any violation of the governing documents by any such person(s) shall be a violation by me. 80-20 Rule I acknowledge that I am eligible for membership in PIABA only if at least 80 percent of my work involving securities industry/customer disputes and at least 80 percent of my current law firm’s work involving securities industry/customer disputes is performed on behalf of investors. “Securities industry/customer disputes” means disputes between investors, on the one hand, and any one or more of the following on the other: securities and commodities industry participants (licensed or unlicensed), securities issuers, financial counselors, and persons alleged to have liability for the acts or omissions of any of the foregoing (all of which are referred to collectively as “securities/industry participants”). Representation of securities industry participants in disputes with other securities industry participants is not considered in the computation of any of the percentages above. Any uncertainty, ambiguity, or question as to whether certain representation is or is not on behalf of parties against investors will be presumed to be industry representation. The percentage of the member’s or prospective member’s work and the percentage of his/her law firm’s work in securities industry/customer disputes shall be the percentage of hours spent rather than the percentage of revenues generated or any other measure; and the relevant time period for determining that percentage shall run from the date twelve months preceding the date on which the determination is made to the date on which the determination is made, inclusive. If the prospective member is an employee of or partner with a PIABA member in good standing, the time period for determining the percentage shall run from the date of hire or entry into partnership, so long as at least six months have passed between that date and the date of application. The prospective member’s work performed before joining the existing member’s firm will not be taken into consideration when determining the existing member’s continued eligibility during the first six months of the prospective member’s employment by or partnership with the existing member. The prospective member’s work performed while employed by or partnered with the existing member shall be taken into consideration in determining the existing member’s continued eligibility. As a PIABA member, I recognize that I have the obligation to disclose to PIABA the names of all securities industry participants and commodities industry participants that I or my law firm represent in securities industry/customer disputes, and to keep that disclosure current on a continuing basis within 30 days of any changes. Further, I acknowledge my continuing obligation to notify PIABA immediately of any changes which may affect my compliance with the 80-20 Rule. I understand that failure to provide the information required in this paragraph may result in suspension of membership privileges and/or expulsion from the Association.

PIABA'S 80-20 Rule I acknowledge that I am eligible for membership in PIABA only if at least 80 percent of my work involving securities industry/customer disputes and at least 80 percent of my current law firm's work involving securities industry/customer disputes is performed on behalf of investors. As a PIABA member, I recognize that I have the obligation to disclose to PIABA the names of all securities industry participants and commodities industry participants that my law firm represents in securities industry/customer disputes, and to keep that disclosure current on a continuing basis within 30 days of any changes. Further, I acknowledge my continuing obligation to notify PIABA immediately of any changes which may affect my compliance with the 80-20 Rule. I understand that failure to provide the information required in this paragraph may result in suspension of membership privileges and/or expulsion from the Association. List-Serve Guidelines I affirm that I have read the Guidelines for Use of the PIABA List-Serves and agree to abide by those Guidelines at all times. I further agree that I will ensure that all attorneys, para-professionals, and others in my office who have access to those list-serves will abide by those Guidelines and agree that any violation of the Guidelines by any such person(s) shall be a violation by me. Paralegal / Legal Assistant Affirmation I am employed by a current PIABA member in good standing as a Paralegal or Legal Assistant performing substantive legal work 80% (or more) of the time. I further affirm I am not a lawyer. I affirm that the information set forth herein is true, accurate and complete, and that I am eligible for membership in PIABA. I further agree to notify the PIABA office promptly if any such information changes.