Expand All 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 Book traversal links for 3100. SUPERVISORY RESPONSIBILITIES ‹ 3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS Up 3110. Supervision ›