Tag Archives: broker-dealer; FINRA; Annual Review; Rule 3120; Rule 3130; Supervision;

Time to Schedule your 1Q19 Rule 3120 Annual Review & 3130 Certification

FINRA Rule 3120 testing and the certification required by FINRA Rule 3130 are each required to be completed once each calendar year. FINRA members must submit a report no less than annually to the firm’s senior management containing details of its system of supervisory controls and the results of the testing and verification of those controls.  Furthermore, the Rule 3130 Certification must also be completed annually but not later than the anniversary date of the previous year’s certification.

Contact us today to schedule your 1Q19 Rule 3120 Testing/Rule 3130 Certification. Click here.