For updates and guidance related to COVID-19 / Coronavirus, click here.
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This rule is no longer applicable. NASD Rule 3013 has been superseded by FINRA Rule 3130.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.