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3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS

3100. SUPERVISORY RESPONSIBILITIES

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3110. Supervision

3120. Supervisory Control System

3130. Annual Certification of Compliance and Supervisory Processes

3150. Holding of Customer Mail

3160. Networking Arrangements Between Members and Financial Institutions

3170. Tape Recording of Registered Persons by Certain Firms

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Disclaimer: The summary and detailed topics are only available for 40 FINRA Rules and have been applied as part of the FINRA Rulebook Search Tool™ (FIRST™) prototype. FIRST is for informational purposes only and does not provide regulatory or compliance advice. You should always review the relevant rule text and the related guidance to understand your regulatory obligations. Usage or reliance on this tool is not a defense to a failure to comply with the FINRA rules. Learn More

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