3013. Annual Certification of Compliance and Supervisory Processes
This rule is no longer applicable. NASD Rule 3013 has been superseded by FINRA Rule 3130. Please consult the appropriate FINRA Rule.
1 Rule 3013 and IM-3013 became effective on December 1, 2004, which would require a member's first certification to be executed by December 1, 2005 and annually thereafter; however, a member may elect to execute its first certification by no later than April 1, 2006 and annually thereafter.
|Amended by SR-NASD-2007-049 eff. July 16, 2007.
Amended by SR-NASD-2005-121 eff. Oct. 14, 2005.
Adopted by SR-NASD-2003-176 eff. Dec. 1, 2004.
Selected Notices: 04-79, 07-32.