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Regulatory Release

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

Details

Rule Type

Notice

Release Number

34-58118

SEC Issue Date

July 8, 2008 | 2:50 pm ET

Federal Register Publish Date

July 15, 2008 | 11:36 pm ET

Document Citation

73 FR 40647

Resources

Rel. No. 34-58118

Federal Register Version

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: July 19, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

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

Details

Resources

More in this Section

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

Details

Resources