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Up to Dec 14 2010Dec 15 2010 onwards

IM-11110. Refusal to Abide by Rulings of the Committee

This rule is no longer applicable. NASD Rule 11000 Series has been superseded by FINRA Rule 11000 Series. Please consult the appropriate FINRA Rule.

It shall be considered conduct inconsistent with just an equitable principles of trade for any member to refuse to abide by an official ruling of the Committee, acting within its appropriate sphere, with respect to any transaction which was consummated within the provisions and purview of the Uniform Practice Code.

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