IM-3013. Annual Compliance and Supervision Certification
This rule is no longer applicable. NASD IM-3013 has been superseded by FINRA Rule 3130. Please consult the appropriate FINRA Rule.
For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
This rule is no longer applicable. NASD IM-3013 has been superseded by FINRA Rule 3130. Please consult the appropriate FINRA Rule.
This rule is no longer applicable. NASD Rule 3013 has been superseded by FINRA Rule 3130. Please consult the appropriate FINRA Rule.
This rule is no longer applicable. NASD Rule 3012 has been superseded by FINRA Rule 3120. Please consult the appropriate FINRA Rule.
This rule is no longer applicable. NASD IM-3011-2 has been superseded by FINRA Rule 3310. Please consult the appropriate FINRA Rule.
This rule is no longer applicable. NASD IM-3011-1 has been superseded by FINRA Rule 3310. Please consult the appropriate FINRA Rule.
This rule is no longer applicable. NASD Rule 3011 has been superseded by FINRA Rule 3310. Please consult the appropriate FINRA Rule.
This rule is no longer applicable. NASD IM-3010 has been superseded by FINRA Rule 3110. Please consult the appropriate FINRA Rule.
This rule is no longer applicable. NASD Rule 2910 has been superseded by FINRA Rule 2261. Please consult the appropriate FINRA Rule.