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

Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. or ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt NASD Rule 3013 (Annual Certification of Compliance and Supervisory Processes) and IM-3013 (Annual Compliance and Supervision Certification) as a FINRA rule in the consolidated FINRA rulebook without material change and to delete the corresponding provisions in Incorporated NYSE Rule 342.30 and NYSE Rule Interpretations 311(b)(5)/04 through /05 and 342.30(d)/01 through (e)/01.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 94.72 KB
Federal Register NoticePDF - 60.89 KB
Extension No. 1PDF - 19.69 KB
Response to CommentsPDF - 140.77 KB
Extension No. 2PDF - 23.33 KB
Approval OrderPDF - 59.33 KB