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3000. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS, EMPLOYEES, AND OTHERS' EMPLOYEES


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Contents:
3010. Supervision
3012. Supervisory Control System
3020. Fidelity Bonds
3030. Outside Business Activities of an Associated Person
3040. Private Securities Transactions of an Associated Person
3050. Transactions for or by Associated Persons
3070. Reporting Requirements
3100. BOOKS AND RECORDS, AND FINANCIAL CONDITION
3200. SETTLEMENTS
3300. TRADING