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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 eff. Dec. 15, 2010.
Selected Notice: 10-49.