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


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Contents:
3010. Supervision
3011. Anti-Money Laundering Compliance Program
3012. Supervisory Control System
3013. Annual Certification of Compliance and Supervisory Processes
3020. Fidelity Bonds
3030. Outside Business Activities of an Associated Person
3040. Private Securities Transactions of an Associated Person
3060. Influencing or Rewarding Employees of Others
3070. Reporting Requirements
3080. Disclosure to Associated Persons When Signing Form U-4
3090. Transactions Involving Association and American Stock Exchange Employees
3110. Books and Records
3115. Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures
3120. Use of Information Obtained in Fiduciary Capacity
3121. Custodian of the Record
3130. Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties
3131. Regulation of Activities of Section 15C Members Experiencing Financial and/or Operational Difficulties
3160. Extensions of Time Under Regulation T and SEC Rule 15c3-3
3170. Mandatory Electronic Filing Requirements
3200. SETTLEMENTS
3300. TRADING
3500. EMERGENCY PREPAREDNESS