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Regulatory Release

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

Details

Rule Type

Order

Release Number

34-58661

SEC Issue Date

Sept. 26, 2008 | 2:50 pm ET

Resources

Rel. No. 34-58661

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: July 19, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Order Approving 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

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

Details

Resources