Government Shutdown Information

1014. Department Decision

(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and the public interest and the protection of investors, the Department shall determine whether the Applicant meets each of the following standards:
(1) The application and all supporting documents are complete and accurate.
(2) The

1011. Definitions

Unless otherwise provided, terms used in the Rule 1000 Series shall have the meaning as defined in Rule 0160.
(a) "Applicant"
The term "Applicant" means a person that applies for membership in FINRA under Rule 1013 or a member that files an application for approval of a change in ownership, control, or business operations und

2016048256701 Arive Capital Markets, LLC CRD 8060 AWC va (2020-1587946768854).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048256701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arive Capital Markets, LLC, Respondent Member Firm CRD No. 8060 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Arive Capital Markets, LLC ("Arive" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to