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  FINRA Rules 3012 and 3130 Documents Package
 
 
6 Microsoft Word documents to assist with complying with FINRA 3012 and FINRA 3130.  Package includes:  Template for Rule 3012 Testing and Verification Report, 3130 Annual Compliance and Supervision Certification, Rule 3012 Testing Checklist, Sample Supervisory System Matrix, Supervisory Control System, Supervisory System Assessment with FINRA Guidance

Our Price: $300.00


Availability: Available for download now
Product Code: 3012-3130DOCS


Description
 
6 Microsoft Word documents to assist with complying with FINRA 3012 and FINRA 3130.  Package includes:  Template for Rule 3012 Testing and Verification Report, 3130 Annual Compliance and Supervision Certification, Rule 3012 Testing Checklist, Sample Supervisory System Matrix, Supervisory Control System, Supervisory System Assessment with FINRA Guidance
 



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