Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook

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Date Received
Date Letter Type Commenter Name
Public Comment Philip Shaikun, Associate Vice President and Associate General Counsel, FINRA
Public Comment Christine LaBastille, Managing Director, Integrated Management Solutions USA LLC
Public Comment Amal Aly, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2008-030
Release Number
34-58118
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